Senior Advisor, PCG Compliance Testing

Compliance Testing Specialist

Under general supervision, uses extensive knowledge and skills obtained through experience, specialized training and / or certification in securities and / or banking industry to perform risk-based testing / targeted reviews that are based on the results of the compliance risk assessment. Specifically, leading, coordinating, and executing independent controls testing from planning to close, including communication of issues and action plans and interaction with Business Unit Chief Compliance Officers and senior management. Maintains extensive contact with internal customers to identify, research, analyze and resolve moderate to complex issues.

Essential Duties and Responsibilities

• Collaborate across Compliance teams to maintain a risk-based Compliance Testing program in accordance with testing requirements.
• Conducts compliance tests by reviewing applicable regulations and firm policies, conducting interviews with key contacts, conducting test execution, identifying issues, and issuing final reports.
• Performs multiple testing engagements concurrently from planning through reporting and produces quality deliverables.
• Serves as a Compliance Assurance / compliance risk management liaison by providing meaningful input to ensure risk data is captured, risk mitigation strategies and controls are developed when gaps exist, and appropriate reporting mechanisms are in place.
• Finalizes test issues and action plans, communicates test findings to management and identifies opportunities for improvement in the design and effectiveness of compliance controls.
• Identify changes and assist with the execution of annual and quarterly updates to the testing plan.
• Partner with business units to recommend policy, process and / or control changes / enhancements.
• Work closely with other assurance and risk management programs to assess impact of compliance testing results.
• Ensure effective coordination occurs within assigned team and more broadly within Compliance Testing teams.
• May serve as a resource on compliance issues to partners and associates.
• Prepares and delivers written and oral presentations to management.
• Balances conflicting resource and priority demands.
• Establishes strong relationships with senior management.
• Uses excellent communication skills to influence a wide range of internal audiences including respective product, function, or senior management partners.
• Meets deliverables whilst adhering to Quality Assurance criteria and program manual requirements.
• Possesses intermediate project management and strong interpersonal skills, makes sound decisions, exhibiting initiative and intuitive thinking.
• Participates in certain business initiatives and pro-actively advises and assists the business on change initiatives related to compliance risks.
• Stays up to date with evolving industry and regulatory changes impacting the business.
• Perform other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of :

Skill in :

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Educational / Previous Experience Requirements

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.