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Job Description Summary

Under intermittent supervision, extensive knowledge and skills obtained through education, experience, and/or specialized training to support the Compliance teams Fixed Income business. This role offers the opportunity to shape and oversee key compliance functions, contribute to firm-wide initiatives, and ensure that business activities align with regulatory standards and best practices. You’ll collaborate with front office Sales & Trading Desks, business leaders, legal teams, and regulators to drive effective compliance programs that safeguard the firm and support business objectives.

Job Description

Essential Duties and Responsibilities

As a core member of the Compliance team, you will serve as a subject matter expert on securities industry regulations and firm policies, ensuring adherence while enabling business growth.

Responsibilities Include, But May Not Be Limited To

• Advisory & Support: Provide hands-on compliance guidance to Fixed Income Sales & Trading teams. Collaborate closely with front-office professionals to interpret regulations, apply firm policies, and support business objectives in real time. You will be heavily integrated with Sales & Trading and Middle Office teams.
• Program Oversight: Manage and enhance compliance processes, policies, and procedures to ensure adherence to regulatory requirements. Lead compliance-related projects and change initiatives from inception through completion, including cross-department coordination. Prepare presentations for business and compliance leadership.
• Regulatory Analysis: Research and analyze new or updated regulations to assess impact, identify trends, and implement necessary changes.
• Operational Review: Ensure compliance with regulatory reporting requirements, trade confirmations and other operations/ middle office functions.
• Process Enhancement: Identify, recommend and collaborate with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.
• Monitoring & Reporting: Oversee exception reports, review corrective actions, and prepare compliance reports for management and regulators.
• Representation: Serve as a compliance liaison on internal committees and represent the firm at industry conferences or regulatory forums.

Knowledge, Skills, And Abilities

Advanced Knowledge of:

• 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.
• Concepts, practices and procedures used in the securities industry.
• Principles of finance and securities industry operations.
• Financial markets and products.

Advanced Skill In

• Planning and scheduling work to meet regulatory organizational and regulatory requirements.
• Identifying and applying appropriate compliance monitoring procedures and tests.
• Preparing oral and/or written reports.
• Investigating compliances issues and irregularities.
• Making rule-based and analytical decisions.
• Strong verbal and written communication.
• Operating standard office equipment and using required software applications.

Ability To

• 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.
• 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.
• Establish and maintain effective working relationships at all levels of the organization.
• Maintain confidentiality.
• Maintain currency in laws, rules and regulations related to compliance in assigned functional area.
• Interpret and apply policies and identify and recommend changes as appropriate.
• Quantitatively and/or qualitatively process data.
• Formulate and implement department strategies consistent with long-term company goals.
• Promote team cohesiveness, cooperation, and effectiveness.

Educational/Previous Experience Requirements

• Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of eight (8) years of experience in Compliance and/or the financial services industry.

~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.

Salary Range- $110,000- $120,000

Education

Work Experience

Certifications

Travel

Less than 25%

Workstyle

Hybrid

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.