Venture capital Jobs in St Petersburg, FL

Compliance Specialist

Under general supervision, uses extensive knowledge and skills obtained through experience, specialized training and / or certification in securities and / or banking industry to ensure compliance with all securities and / or banking rules and regulations. Works within a specific Business Unit to coordinate compliance functions, guides compliance efforts, and act as a liaison between functional areas. Leads large or multiple projects with significant scope and impact. Works independently on difficult assignments that are broad in nature and that require originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Provides comprehensive solutions to complex problems. Maintains extensive contact with internal customers to identify, research, analyze and resolve complex issues.

Essential Duties and Responsibilities

• Coaches and mentors less experienced Compliance associates.
• Supports Capital Markets & Advisory ("CMA") Compliance in overseeing the compliance program for the CMA Business Unit Compliance teams to ensure compliance processes and procedures are integrated and aligned with business processes.
• Directs adjustments to existing programs, policies, and procedures, as required.
• 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.
• Informs appropriate Senior Management about issues that may involve rule violations or potential liability.
• Assists CMA Compliance Management to implement adequate controls and quality assurance processes to detect and address potential compliance problems.
• Research compliance issues.
• Alerts Senior CMA Compliance Management of current regulatory issues.
• Researches, interprets, and translates regulatory rules and regulations for Senior CMA Compliance Management.
• Monitors exception and other internal reports for employee adherence with rules and regulations.
• Advises Senior CMA Compliance Management on issues that involve possible rule violations and potential liability.
• Addresses sensitive compliance issues with CMA Compliance Management.
• Participates in corporate policy discussions related to compliance.
• Reviews documentation related to compliance issues for validity and alignment with organizational policies.
• Prepares and delivers written and oral presentations to senior management.
• May coordinate and / or oversee responses to regulatory agency inquiries.
• Develops compliance training programs in conjunction with other compliance activities, as well as maintains training records.
• Reports compliance program status and activities to compliance and business management personnel.
• Manages relevant external examinations, ensuring that requested information and reports are provided.
• Prepares and delivers written and oral presentations to Management.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Educational / Previous Experience Requirements

Licenses / 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 :

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.