Compliance Manager, Data Analytics

Job Description Summary

Under intermittent supervision, uses extensive knowledge and skills obtained through education and experience to ensure the tactical and strategic success of the firm’s Compliance Surveillance program. This includes but is not limited to building Qlik dashboards and reporting for repeatable Risk Metric production, Regulatory discovery analysis, logic development/coding for rollout of new Compliance Surveillance controls, data modeling & charting, ETL processes plus migration on source data, and being a general utility between Industry Rules and Compliance needs to help mitigate firm risk. Reporting to the Director of Compliance Data Analytics Program, the role is responsible for creation & maintenance of custom internal technology solutions, requiring skillsets in both technical development and data analytics end user tools, debugging & testing, data quality assurance and cleansing, and general data gathering from across the firm.

Job Description

Essential Duties and Responsibilities

• Builds and maintains Compliance Surveillance controls covering business entities such as: PCG, GEIB, Advisory & Product areas, RIA & Custody Services.

• Designs custom Compliance dashboards self-service driven model charting to identify key risks, builds data models for integration amongst disparate data sources, QA/Test to ensure validity and transparency of source data.

• Collaborates with Compliance Leaders as well as IT leaders to ensure legitimacy and correctness of data sources

• Tests all outputs against verifiable sources to ensure delivery of Surveillance Controls & Reporting to ensure accuracy.

• Evaluates scope and selects technology components for designing appropriate solutions during development.

• Designs and implements highly customized large scale data solutions that augment risk mitigation.

• Performs extensive analysis of database entities, relationships and attributes.

• Participate in both data design and data processing sessions for assigned projects and teams.

• Optimize ETL processes using Microsoft SQL Server or AWS Redshift best practices.

• Evaluate the content, accuracy and completeness of data models and file specifications.

• Coaches, trains, and mentors less experienced Compliance Specialists.

• Ensures that compliance activities are commensurate with the level of risk being mitigated.

• Provides escalated support and guidance to compliance efforts in assigned business entity. 

• Assists management to implement adequate controls and processes to detect and address potential compliance problems.

• May make risk-based recommendations to Senior Management using industry knowledge.

• Routinely interacts with Chief Compliance Officer, Associate Compliance Directors, Compliance Managers and associates, Supervision & Supervision management.

• Prepares and delivers written and oral presentations to management.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

• Advanced data analytics concepts.

• Concepts, practices, and procedures of securities industry preferred.

• Control functions such as Compliance, Supervision, or Financial Crimes.

• Fundamental investment concepts, practices and procedures used in the securities industry.

• Financial markets and products. 

Skill in:

• Common SQL language.

• Qlik dashboard development and data manipulation.

• AWS Redshift querying and navigation

• Written and verbal communication.

• Providing support and guidance for compliance efforts. 

• Identifying and implementing controls and quality assurance processes. 

• Researching compliance issues.

• Gathering information and preparing oral and written reports.

• Preparing and delivering written and oral presentations. 

• Investigating relevant irregularities.

• Operating standard office equipment and using required software applications.

Ability to:

• 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.

• 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 confidentiality.

Educational/Previous Experience Requirements

• Bachelor’s degree (B.A. /B.S.)  and a minimum of six (6) years of experience in Compliance and/or the financial services industry preferred.

~or~

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

• None Required.

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Education

Work Experience

Certifications

Travel

Less than 25%

Workstyle

Hybrid

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave.  Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

At Raymond James our 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 to do the same
•  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
•  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. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. 

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