Compliance Manager, Surveillance Analytics

Job Description Summary

Under intermittent supervision, uses extensive knowledge and skills obtained through education and experience in securities and/or the banking industry to ensure firm policies and procedures are up-to-date and commensurate with the level of risk being mitigated. Leads large or multiple projects with significant scope and impact. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with a high level of latitude for un-reviewed actions or decisions. Provides comprehensive solutions to vastly complex problems. Maintains extensive contact with internal customers to identify, research, analyze and resolve very complex issues.

Job Description

Essential Duties and Responsibilities

• Reviews the requirement, data and test findings produced by an application to ensure the system(s) meets expectations.

• Directs adjustments to existing programs, and procedures, as required.

• Provides escalated support and guidance to compliance efforts. 

• Researches application issues.

• Develops training/help programs related to the various Compliance systems overseen by our department.

• Reports compliance program status and activities to compliance and business management.

• Develops procedures to reconcile data across vendor and internal systems to ensure accuracy of reporting and assist with troubleshooting discrepancies.

• Documents and organizes requirements, data analysis and testing progress to support cross-training and collaboration efforts.

• Coordination with team members to discuss technology solutions and interpretation of requirements.

• Manages relationships with end user surveillance analysts for the purpose of requirements gathering and issue troubleshooting.

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

• 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.

Skill in:

• Common SQL language.

• Data analytics tools and platforms (e.g., SQL, Qlik Sense, SmartSheet)

• Written and verbal communication.

• Providing support and guidance for compliance efforts. 

• Identifying and implementing controls and quality assurance processes. 

• Researching compliance issues.

• Developing compliance training programs.

• 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.

• Establish and communicate clear directions and priorities.

• Partner with other functional areas to accomplish objectives.

• Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.

• Attention 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 confidentiality.

• Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance.

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

Salary Range

$100,000.00-$110,000.00

Travel

Less than 25%

Workstyle

Remote

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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