Raymond James Financial, Inc. Compliance Manager, GEIB Surveillance in New York, New York
The individual will be responsible for reviewing, monitoring, and engaging with surveillance alerts generated by varying surveillance tools. The individual will also be responsible for assisting in developing new surveillance reports as emerging risks are identified. Day to day work also entails reviewing orders, trades, and quoting activities across the Equity Division at both the firm and client level in equities and options.
Essential Duties and Responsibilities:
Oversees the surveillance program(s) for Global Equities and Investment Banking to monitor compliance with processes and procedures that are designed to assist in detecting potential violations of firm policy or industry regulations.
Reviews the firm’s orders, trades, and quoting activities for potential violations of exchange rules, regulations, and varying securities laws
Uses various surveillance tools (vendors and internal exception reports) as well as market data resources to research surveillance alerts
Understands the rules, regulations, and interpretative guidance associated with trade surveillance reviews.
Learning the Firm’s order flows, including how the various order management systems and trading systems interact with one another as well as with external market centers.
Evidencing and memorializing surveillance reviews for internal and external inquiries, examinations, and audits.
Communicate surveillance findings and results to management and other key stakeholders.
Perform investigations in connection with Surveillance tools and the monitoring of compliance with cross firm policies and regulations.
Exhibit strong written and verbal communication skills, be able to routinely engage with business partners, members of the compliance department, and supervision.
Directs adjustments to existing programs, policies and procedures, as required.
Reports to Senior Compliance Management about issues that may involve rule violations or potential liability.
Assists management in the implementation of controls and quality assurance processes to detect and address potential compliance issues.
Researches potential compliance issues across multiple business units.
Develops and maintains Firm compliance policies and procedures as directed.
Reports compliance program status and activities to senior compliance officers and other key stakeholders.
May make risk-based recommendations to Compliance Management using extensive industry knowledge of, products, risk, and asset value changes across the firm’s business lines.
Prepares and delivers written and oral presentations to management.
Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
Concepts, practices and procedures of securities industry and/or banking compliance reviews and best practices.
Governing body rules and regulations, including the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; Federal Reserve System;
Fundamental investment concepts, practices and procedures used in the securities industry.
Principles of markets, banking, finance and securities industry operations.
Researching compliance issues and developments, and overseeing compliance programs.
Integrating and aligning compliance processes and procedures with business processes.
Coordinating complex compliance activities.
Providing support and guidance for compliance efforts.
Identifying and implementing controls and quality assurance processes.
Reviewing materials for compliance with rules and regulations.
Preparing and delivering oral and written reports detailing results of implemented compliance programs
Identifying and investigating compliance irregularities.
Making rule-based and analytical decisions.
Operating standard office equipment and using required software applications.
Provide training, coaching and mentoring for others.
Partner with other functional areas to accomplish objectives.
Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.
Attend to detail while maintaining a big picture orientation.
Gather information, identify linkages and trends and apply findings to assignments.
Interpret and apply securities and/or banking regulations and identify and recommend compliance changes as appropriate.
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.
Provide a high level of customer service.
Establish and maintain effective working relationships at all levels of the organization.
Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance.
Educational/Previous Experience Requirements:
- Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of six (6) years of experience in Compliance and/or the financial services industry.
- Any equivalent combination of experience, education, and/or training approved by Human Resources.
- SIE, Series 7, and Series 24 preferred
Job: Auditing & Compliance
Primary Location: US-FL-St. Petersburg-Saint Petersburg
Other Locations: US-NY-New York-New York City
Organization RJF Corporate
Job Shift Day Job
Travel Yes, 20 % of the Time
Req ID: 2100360
Raymond James Financial, Inc.
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