Compliance Advisor I

Location: St Petersburg, FL Reference Code: 0800970 Job Summary:Under limited supervision, uses specialized knowledge and skills in securities and/or banking industry compliance obtained through education, experience, training and/or certification to assist in administering and analyzing routine compliance reviews and providing general compliance support in an assigned business entity. Leads projects of moderate scope and complexity and serves as a technical advisor to teams.  Some guidance is provided to perform varied work that is somewhat difficult in character requiring evaluation, originality and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. Extensive contact with internal customers is required to identify, research, and resolve problems.   Essential Duties and Responsibilities: Conducts and analyzes routine compliance reviews to identify irregularities and ensure compliance with organizational and regulatory agency rules and regulations. Evaluates processes and procedures for compliance. Assists in alerting management to current regulatory issues. Researches, interprets and translates regulatory rules and regulations for staff.  Monitors exception and other internal reports for employee adherence with rules and regulations. Assists in delivering staff training on compliance policies, rules and regulations. Monitors and/or prepares filings and maintains compliance database. Coordinates internal compliance examinations and regulatory agency examinations. Assists in the compliance review of sales and marketing literature and customer disclosures required by regulatory agencies. Advises compliance management of issues that involve possible rule violations and potential liability. Participates in addressing sensitive compliance issues with management in assigned functional area. Participates in corporate policy discussions related to compliance. Develops documentation related to compliance issues to enhance corporate policies. Assists in preparing and delivering written and oral presentations to management. Performs other duties and responsibilities as assigned.   Knowledge, Skills, and Abilities:Basic knowledge of: Concepts, practices and procedures of securities industry and/or banking compliance reviews. Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies. Fundamental investment concepts, practices and procedures used in the securities industry. Principles of banking and finance and securities industry operations. Financial markets and products.  Skill in: Conducting and analyzing compliance reviews and identifying irregularities.  Monitoring employee activities for adherence to organizational policies and procedures.  Explaining policies and regulations to others. Addressing sensitive issues with others. Developing compliance policies and procedures. Preparing and delivering written and oral presentations.   Operating standard office equipment and using required software applications. Ability to: Use independent judgment on a variety of compliance issues. 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 organizational and regulatory agency rules and regulations. Educational/Previous Experience Requirements: Associates degree (A.A.) or equivalent in a related discipline and two (2) years of experience in compliance in the financial services industry or banking preferred. ~or~ Any equivalent combination of experience, education, and/or training approved by Human Resources.   Licenses/Certifications: Series 7 License and Series 24 license(s) for assigned functional area preferred or ability to obtain within ninety (90) days. Additional Information: Travel Percentage: 50% About us We take pride in providing innovative, individual financial planning and investment alternatives to a discriminating client base. While our mission is specific, our own needs are broad and we rely on a committed, diversely talented group of associates and experts - from electricians to financial attorneys - to enable and sustain our success. As a firm that has built a reputation on its commitment to independence and individuality, we value and reward the contributions of our associates. Everyone has an opportunity to make an impact at Raymond James. EOE-Drug Free Workplace