Compliance Sr. Manager Fixed Income

Job Description Summary

Under intermittent supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance to administer and manage an assigned compliance function. Leads major projects, programs or processes with significant business impact. Influences strategic direction, develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalated problems or needs. End results are evaluated for achieving goals and objectives. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze, and resolve complex issues.

Job Description

Essential Duties and Responsibilities

• Analyzes rules and regulations, writes policies and procedures, and manages key projects from inception to completion.

• Provides day-to-day compliance support for Fixed Income business areas, and serves as a resource on compliance issues to business unit.

• Develops and implements continuing education and training programs for the department.

• Oversees compliance exception reporting processes and approves corrective actions.

• Partner with business units to recommend policy and process changes to Senior Management.

• May drive regulatory change initiatives.

• Ensures effective coordination occurs within assigned work group and with other work groups.

• Identifies, recommends and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.

• May serve as a compliance liaison on various committees and projects representing the interest of the department.

• Attends and may deliver presentations at industry-related conferences.

• Researches regulatory updates to identify linkages and trends and apply findings.

• Performs periodic reporting on compliance and operational issues as required.

• May coach, train and mentor other Compliance associates.

• Balances conflicting resource and priority demands.

• Performs other duties and responsibilities as assigned.

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.

• Concepts, practices and procedures used in the securities industry.

• Principles of finance and securities industry operations.

• Financial markets and products.

Advanced Skill in:

• Planning and scheduling work to meet regulatory organizational and regulatory requirements.

• Identifying and applying appropriate compliance monitoring procedures and tests.

• Preparing oral and/or written reports.

• Investigating compliances issues and irregularities.

• Making rule-based and analytical decisions.

• Strong verbal and written communication.

• Operating standard office equipment and using required software applications.

Ability to:

• Partner with other functional areas to accomplish objectives.

• Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.

• Attention to detail while maintaining a big-picture orientation.

• Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

• Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.

• Work independently as well as collaboratively within a team environment.

• Establish and maintain effective working relationships at all levels of the organization.

• Maintain confidentiality.

• Maintain currency in laws, rules and regulations related to compliance in assigned functional area.

• Interpret and apply policies and identify and recommend changes as appropriate.

• Quantitatively and/or qualitatively process data.

• Formulate and implement department strategies consistent with long-term company goals.

• Promote team cohesiveness, cooperation, and effectiveness.

Educational/Previous Experience Requirements

• Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of eight (8) years of experience in Compliance and/or the financial services industry.

~or~

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

• None Required.

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Salary Range- $110,000- $120,000

Education

Work Experience

Certifications

Travel

Less than 25%

Workstyle

Hybrid

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

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