Director, GWS Investment Products Compliance

Job Summary

Under administrative supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and / or certification to support the design, implementation, and oversight of a comprehensive compliance program for Global Wealth Solutions ("GWS") Investment Products.

Leads major projects, programs, or processes with significant business impact. Influences strategic direction and develops tactical plans and completes complex assignments.

Maintains extensive contact with customers and regulatory agencies to identify, research, analyze and resolve complex issues.

Essential Duties and Responsibilities

Develops and maintains compliance programs, systems, policies, and procedures to ensure compliance with federal, state, and self-regulatory regulations.

Minimizes the firm's risk exposure while balancing business concerns.

• Evaluates compliance and risk management controls and recommends appropriate changes, as required.
• Serves as a subject matter expert on compliance issues by maintaining proficient knowledge of applicable compliance statutory regulations and interpretations.
• Partners with GWS business leaders as well as Supervision, Risk, and Legal on key projects and initiatives.
• Recommends compliance solutions for the firm while fostering positive business relationships with department associates and branch associates / affiliates.
• Evaluates the compliance risks, disclosures, and controls for new products and services and potential conflicts of interest.
• Plans, assigns, monitors, reviews, evaluates, and leads the work of others.
• Coaches, trains, and mentors other Compliance associates.
• Serves as the primary liaison between the organization and industry regulators by responding to inquiries, audits, and investigations.
• May serve as a liaison between the organization and industry committees such as SIA, FSI, and the FINRA.
• May oversee compliance exception reporting processes and take appropriate action, as required.
• Continually evaluates the department structure and strategic plan, considering future growth. Promotes overall efficiency while maintaining a commitment to compliance standards and excellent service.
• Identifies and recommends solutions to automate and streamline functions that improve the operational efficiency of compliance systems and processes.
• Performs other duties and responsibilities as assigned.

Qualifications :

Knowledge, Skills, and Abilities

Advanced knowledge of :

• Concepts, practices, and procedures of securities industry compliance.
• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.
• Retail and clearing firm operations.
• Financial markets and products.
• Investment concepts, practices and procedures used in the securities industry.

Advanced skill in :

• Administering regulatory notifications and filings.
• Planning and scheduling work to meet regulatory organizational and regulatory requirements.
• Investigating compliances issues and irregularities.
• Making rule-based and analytical decisions.
• Identifying and applying appropriate compliance monitoring procedures and tests.
• Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.
• Preparing oral and / or written reports.
• Project management skills and experience sufficient to successfully complete long and short-term projects.
• Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Ability to :

• Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
• Attend to detail while maintaining a big picture orientation.
• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.
• Establish and communicate clear directions and priorities.
• Gather information, identify linkages and trends, and apply findings to operations.
• Maintain currency in laws, rules and regulations related to compliance in assigned functional area (s).
• Plan, assign, monitor, review, evaluate and lead the work of others, coach, and mentor others.
• Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates.
• Work independently as well as collaboratively within a team environment to resolve problem.

Educational / Previous Experience Requirement

Education / Previous Experience

• Bachelor's Degree (B.A. / B.S.) in a related discipline required with a Master's degree preferred. Minimum of ten (10) years of Compliance, Legal, Banking and / or regulatory experience in the financial services industry.
• Minimum five (5) years management experience within the financial services industry.
• Any equivalent combination of experience, education, and / or training approved by Human Resources.

Licenses / Certifications

• None Required.
• Appropriate series license(s) for assigned functional area preferred.
• Additional licenses / certifications demonstrating the candidate's knowledge / expertise in industry regulation and concepts preferred.

Raymond James Guiding Behaviors

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.

We expect our associates at all levels to :

• Grow professionally and inspire others to do the same
• Work with and through others to achieve desired outcome
• Make prompt, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Contribute to the continuous evolution of the firm
30+ days ago