Description

Job Summary

Under general supervision, uses specialized knowledge and skills obtained through experience and training to support the Registrations department and its business partners. Collaborates with manager and team on data collection, validation, analysis, and reporting of the firm’s registration metrics to drive key business decisions. Works closely with manager on developing and improving compliance monitoring by analyzing trends and identifying risk related to registration related policies, processes, and procedures. Performs monitoring of risk-based functions, identify gaps/opportunities for enhancements and report to business partners. Responsible for creating efficiencies in the current data collection, monitoring and reporting process. Maintains regular contact with internal customers to identify, research, and resolve problems. Serves as a technical advisor to the Registrations department for certain programs.

Essential Duties and Responsibilities

• Performs monitoring of registration activities in accordance with procedures and within tight deadlines.

• Completes monitoring template to document and track results and trends.

• Pulls, maintains, and deciphers data from internal and external systems within established guidelines for monitoring and control purposes.

• Assists in implementing adequate monitoring and control processes to provide early identification of potential compliance risks.

• Maintains firm’s registration related policies to ensure they conform to current processes, procedures, and regulation.

• Creates and produces relevant and appropriate reports on registrations metrics.

• Uses regulatory thresholds to establish monitoring and control mechanisms and other improvement initiatives.

• Updates existing programs, policies and procedures, as directed.

• Provides support and guidance for registration efforts.

• Partners with other groups within Compliance to ensure delivery of a cohesive product.

• Assists management in implementing adequate controls and monitoring processes to provide early identification of potential compliance problems.

• Assists in researching registration issues.

• Reports registration program status and activities to management.

• Assists with internal and external examinations, including gathering requested information and reports.

• Owns assigned projects and drives initiatives to completion.

• Performs other duties and responsibilities as assigned.

Qualifications

Knowledge, Skills, and Abilities

Knowledge of:

• MS Excel skills including pivot tables, VLOOKUP, formatting and charts.

• PowerPoint skills.

• Key metric indicators and risk management concepts.

• Strong analytic and problem-solving skills.

• Ability to work in multiple computer systems and software applications.

• 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; Municipal Securities Rulemaking Board (MSRB); National Futures Association (NFA) 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:

• Monitoring compliance programs.

• Collecting data from multiple data systems.

• Integrating and aligning compliance processes and procedures with business processes.

• Critical thinking.

• Problem solving, quantitative, and analytical abilities.

• Identifying and implementing controls and quality assurance processes.

• Reviewing materials for compliance with rules and regulations.

• Researching compliance issues.

• Gathering information and preparing oral and written reports.

• Investigating compliance irregularities.

• Providing support for compliance efforts.

• Excellent organizational and time management skills.

• Operating standard office equipment and using required software applications.

Ability to:

• Research data issues and leverage data skills to troubleshoot.

• Implement quality controls.

• Attend to detail while maintaining a big picture orientation.

• Gather information, identify gaps and recommend solutions.

• Interpret and apply securities 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.

Educational/Previous Experience Requirements

Education/Previous Experience

• Bachelor’s degree (B.A. /B.S.) and a zero (0) to two (2) 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.

Job: Compliance

Primary Location: US-FL-St. Petersburg-Saint Petersburg

Organization RJF Corporate

Schedule Full-time

Job Shift Day Job

Travel No

Req ID: 2402808