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An American multinational independent investment bank and financial services company Raymond James is looking for a candidate to fulfill the position of a Compliance Director of Branch Exams Training and Development.
Job summary
Under general direction, uses extensive knowledge and skills obtained through experience, specialized training and/or certification in securities industry compliance to oversee the Private Client Group («PCG») Branch Examiner training program. Position will include the design, implementation and supervision of the program, which will require frequent adjustments as changes branch exam program and related processes occur. Influences decisions with potential for broad, firm-wide impact and develops tactical plans to achieve objectives. Assignments will have substantial latitude for un-reviewed actions and decisions.
Essential duties and responsibilities
Manage development of PCG Branch Exam training program, including design of the new hire training program, as well as continuing education/development opportunities, documentation of processes and procedures, and delivery of training
Ensure new examiners are properly trained to execute the exam program and continuing education/development of existing staff is offered, as appropriate
Create and maintain standardized templates for exam work paper documentation
Provide for timely execution of the training program and engagement of PCG Compliance leadership if program is at risk.
Coordinate cross-functionally within PCG Compliance to create holistic training program.
Continually evaluate the program structure. Promote overall efficiency while maintaining a commitment to compliance standards and excellent service.
May perform some human resource management activities including identifying performance problems, making recommendations for remedial action, and participating in the interviewing process for new hires.
Provide peer coaching and mentoring, identify training needs and recommend appropriate development opportunities.
Identify opportunities for greater efficiencies and participates in overall exam program enhancements
Maintain proficient knowledge of applicable firm policies and procedures, as well as compliance statutory regulations and interpretations.
Minimize the firm’s risk exposure while balancing business concerns.
Qualifications
Knowledge, skills, and abilities:
Concepts, practices and procedures of securities industry compliance.
Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.
Financial markets and products.
Investment concepts, practices and procedures used in the securities industry.
Skill in
Identifying and applying appropriate training methodologies
Ability to create a learning environment that fosters engagement and motivation
Exceptional written and oral communications to address a wide and varied audience
Prior experience in training, team management, or other related area
Proficiency in Excel, Word, and PowerPoint
Ability to
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 to communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.
Establish and communicate clear directions and priorities.
Attend to detail while maintaining a big picture orientation.
Maintain currency in laws, rules and regulations related to compliance and branch exams.
Work independently as well as collaboratively within a team environment to resolve problems.
Educational/Previous experience requirements
Bachelor’s Degree (B.A./B.S.) in a related discipline required with a Master’s degree preferred. Minimum of ten (10) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry.
Minimum five (5) years management experience within the financial services industry.
Licenses/Certifications
Series 24 License preferred or the ability to obtain within an established timeframe.
Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
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