Job Description

Job Summary

Under general supervision, uses specialized knowledge and skills obtained through experience, specialized training and/or certification in securities or compliance to support the Capital Markets Control Room department and its business partners. Collaborates with manager and team on trade monitoring, data collection, validation, analysis, and reporting of metrics. Maintains regular contact with business partners to identify, research, and resolve problems.

Essential Duties and Responsibilities

• Assists management in implementing adequate controls and quality assurance processes to provide early identification of potential compliance problems.

• Adjusts existing programs, policies, and procedures, as directed.

• Drafts reports detailing work performed and conclusions reached.

• Reports compliance program status and activities to Control Room management.

• Assists in developing compliance training programs, including maintaining training records and coordinating training with other compliance activities.

• Assists in overseeing compliance program(s) for an assigned business entity to ensure compliance processes and procedures are integrated and aligned with business processes.

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

• Provides support and guidance for Control Room compliance efforts.

• Assists in researching compliance issues.

• Conducting research utilizing available systems, databases, and the internet, consistent with the resolution of investigations.

• Perform reviews and analysis utilizing internal and third-party research tools.

• Assists with external compliance examinations, including gathering requested information and reports.

• Aid in projects as deemed priority by management.

• Prepares and delivers written and oral presentations.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

• Understanding of securities markets and security / option trading a plus.

• Using Microsoft Excel to organize data (e.g., Pivot Tables, V-LOOKUP).

• Methods for extracting, organizing, and presenting complex data in easily digestible formats (e.g., data visualization).

Skill in:

• Exercising judgment and self-direction to complete projects.

• Critical thinking, attention to detail, and the ability to use analytical skills.

• Managing several tasks at once.

• Communicating effectively, both verbally and in writing.

• Establishing and maintaining effective professional working relationships.

Ability to:

• Learn about concepts, practices, and procedures of securities industry and/or compliance reviews.

• Learning the principles of banking and finance and securities industry operations.

• Acquire the ability to review materials for compliance with rules and regulations.

• Gather information and gain the ability to identify linkages and trends.

• 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.

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

• Provide a high level of customer service.

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

• Maintain confidentiality.

Education

Bachelor’s

Work Experience

General Experience - 13 months to 3 years

Certifications

Other License Not Listed - Other

Travel

Less than 25%

Workstyle

Hybrid

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 outcomes

• 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

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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