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About the Role

Under general direction, this role supports the design, implementation, and supervision of a comprehensive compliance program with a focus on Equity Research and Investment Banking matters. The position involves exposure to all business lines in the development and execution of the Compliance program, contributing to strategic direction and developing tactical plans with a substantial degree of autonomy.

Responsibilities

• Contribute to the development and maintenance of compliance programs, systems, policies, and procedures.
• Design, implement, and execute a comprehensive risk-based monitoring and testing program.
• Provide written and oral advice to stakeholders, identifying risk considerations.
• Participate in risk reviews, audits, examinations, due diligence, and regulatory change processes.
• Foster positive business relationships with stakeholders.
• Prepare reports, presentations, and regulatory submissions.
• Provide training to coverage areas.
• Perform other duties and responsibilities as assigned.

Requirements

• Knowledge of securities industry compliance concepts, practices, and procedures, including the three-lines of defense model, information barriers, and conflict of interest management.
• Familiarity with SEC and FINRA rules and regulations, including specific rules related to corporate finance, conflicts of interest, research, communications, supervision, registration, Securities Act Section 5, SEC Rules 138/139, Reg AC, and Reg M.
• Understanding of financial markets and products, particularly research products and investment banking transaction structures and processes.
• Ability to assimilate information and identify relevant considerations for analysis.
• Ability to determine and apply relevant regulations, policies, and procedures.
• Ability to provide accurate and timely advice to stakeholders.
• Ability to conduct inquiries and investigations.
• Strong written and verbal communication skills for addressing diverse audiences.
• Proficiency in preparing oral and written reports, presentations, and regulatory submissions.
• Project management skills for completing short and long-term projects.
• Proficiency in standard office equipment and software applications.
• Ability to work under pressure, manage multiple tasks, and meet deadlines in a fast-paced environment.
• Ability to maintain attention to detail while considering the big picture.
• Ability to communicate effectively and professionally at all organizational levels.
• Ability to establish and communicate clear directions and priorities.
• Ability to recognize when issues need escalation.
• Commitment to continuous development of technical skills and subject matter expertise.
• Ability to work independently and collaboratively to resolve problems.

Skills

• Securities industry compliance
• Risk management
• SEC regulations
• FINRA rules
• Financial markets
• Research products
• Investment banking
• Regulatory analysis
• Stakeholder communication
• Report preparation
• Presentation skills
• Project management
• Office software proficiency

Location

• Hybrid

Work Type

• Hybrid

Experience Level

• Minimum of three (3) years of experience in the financial services industry, compliance, or risk management.

Education Level

• Bachelor’s Degree (B.A./B.S.) in a related discipline or equivalent combination of experience, education, and/or training.

Salary/Compensations

• $75,000.00-$90,000.00

Benefits

• Medical, dental, and vision insurance
• Life insurance
• Critical illness insurance
• Accident insurance
• Disability benefits
• Retirement savings plan
• Paid time off (vacation, holidays, sick leave)
• Parental leave

About the Company

• At Raymond James, 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, 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, and 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.

Equal Opportunity

• The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.