Raymond James Financial, Inc. Senior Associate, Compliance (NE) in St. Petersburg, Florida
Under limited supervision, uses specialized knowledge and skills obtained through experience and/or formal training to promote and efficiently manage the intake, documentation, processing and resolution needs for all matters for either the Senior & At-Rick Investors or Dispute Resolution Team. Role includes organizing, establishing, and maintaining the content in a central repository to ensure its availability for compliance reviews, minimize the potential risk to information integrity, and maximize the efficiency and reuse of this content. Communicates information with internal and external customers and adapts procedures, processes, and techniques to accomplish the requirements of the position. Serves as a resource to others in the resolution of
problems and issues. Assists with projects of significant scope and complexity.
Essential Duties and Responsibilities:
• Handles initial intake of client complaints, senior investor issues and/or regulatory inquiries.
• Handles all incoming and outgoing mail for team.
• Manages the setup process for all new matters in the central repository system.
• Oversees the document workflow to ensure that documents and matters are managed appropriately.
• Assists with special projects as directed by supervisor.
• Performs audits of records contained in various files and department/practice group databases to ensure firm/department standards and quality assurance.
• Receives, identifies and distributes electronic documents to appropriate internal contacts.
• Consults with relevant areas to identify documents stored for retention and retrieval.
• Supports, organizes, and facilitates the creation of content as required.
• Enforces the documentation standards, consulting with process owners as needed to refine content for clarity and compliance.
• Scans and codes/profiles documents to the proper folders in various databases.
• Examines physical and electronic documents and other records for the purpose of coding, organizing or indexing information according to firm and/or division/section procedures.
• Demonstrates and applies an understanding of the Records Retention Policy.
• Communicates with division/ section and/or supervisor on status of projects.
• Schedules, reports, and tracks information for department.
• Collects data for preparation of various reports, budgets, and variance analyses.
• Assists in preparing, reviewing, or auditing reports.
• Assists in scheduling meetings and calls as needed.
• Monitors the team telephone line and inbox and handles appropriately.
• Assists with more complex research and investigation. May prepare analyses of information.
• May assist in orienting and training lower level employees.
• May assign and check the work of lower level employees and/or be designated as “lead” worker.
• Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
• Preferred knowledge and or experience with Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and, state and securities regulatory agencies. Fundamental investment concepts, practices and procedures used in the securities industry. Basic principles of banking and finance and securities industry operations knowledge. Basic financial markets and products knowledge.
• Technical and business writing and publication methods, processes, and best practices.
• Broad document management and best practices around cataloging and indexing strategies.
• Basic legal aspects of information management, including security, privacy, intellectual property, and digital governance.
• Basic regulatory requirements, industry references, and controls frameworks.
• Planning and scheduling work to maintain document repository to meet organizational and regulatory requirements.
• Time management and self-direction sufficient to prioritize workload, handle multiple tasks, and meet deadlines.
• Strong detail orientation to ensure quality standards are met without impairing workflow.
• Anticipating and supporting the document gathering needs associated with audits.
• Conveying information clearly and effectively through both formal and informal documents.
• Using required software applications, including but not limited to Windows, Microsoft Word, and Microsoft SharePoint.
• Understand multiple processes and their relationships with other business practices (policies, standards, and procedures).
• Gather information, identify linkages and trends, and apply findings to assignments.
• Employ good judgment and strong deductive reasoning skills.
• Convey and explain information effectively and tactfully to deal with diverse people, situations, and ideas.
• Attend to detail while maintaining the big picture.
• Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
• Handle challenging situations and provide a high level of customer service in a calm and professional manner.
• Use appropriate interpersonal styles and communicate effectively, both verbally and in writing.
• Demonstrate critical thinking, strong analytical ability, and judgment when solving problems.
• Work independently as well as collaboratively within a team environment.
• Partner with other functional areas to accomplish objectives.
• Establish and maintain effective working relationships.
• Maintain confidentiality.
Educational/Previous Experience Requirements:
• High school diploma or general education degree (GED);
• A minimum of five (5) years’ experience in Legal/Compliance and working with Legal Related Documents.
• An equivalent combination of education, experience and/or training.
Job: Auditing & Compliance
Organization: RJF Corporate
Title: Senior Associate, Compliance (NE)
Location: FL-St. Petersburg-Saint Petersburg
Requisition ID: 2000665