Raymond James
Compliance Manager, PCG
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Compliance Manager, PCG
role at
Raymond James
Job Description Summary Under intermittent supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to ensure the tactical and strategic success of the firm’s PCG Compliance program. Responsibilities include providing advice and guidance on industry rules, regulations and firm policies, providing compliance education to branch associates, conducting surveillance reviews, and working on ad hoc projects. Works independently on difficult assignments that require originality and ingenuity with ample latitude for unreviewed actions or decisions.
Essential Duties and Responsibilities
Provides advice and guidance on industry rules, regulations, and firm policies.
Provides compliance training to new PCG branch associates.
Delivers educational content to PCG branch associates via webinars and newsletters.
Conducts complex research and reports findings to Compliance, Legal, Regional Supervision, and Regional Management partners.
Consults with other business units on compliance-related matters.
Conducts various surveillance reviews.
Works on ad hoc projects.
Knowledge, Skills, and Abilities
Advanced knowledge of securities industry compliance reviews, SEC, FINRA, state regulators.
Fundamental investment concepts, banking and finance principles.
Financial markets and products.
Skills
Overseeing compliance programs.
Integrating and aligning compliance processes with business processes.
Coordinating complex compliance activities.
Providing support and guidance for compliance efforts.
Identifying and implementing controls and quality assurance processes.
Reviewing materials for compliance with rules and regulations.
Abilities
Provide training, coaching, and mentoring for others.
Partner with other functional areas to accomplish objectives.
Facilitate meetings, ensuring all viewpoints 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 regulations and recommend compliance changes as appropriate.
Educational/Previous Experience Requirements
Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of six (6) years of experience in the financial services industry, compliance, or risk management.
Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications
None Required.
Travel Less than 25%
Workstyle Hybrid
Company Culture 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.
Equal‑Opportunity Employer Statement The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
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Compliance Manager, PCG
role at
Raymond James
Job Description Summary Under intermittent supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to ensure the tactical and strategic success of the firm’s PCG Compliance program. Responsibilities include providing advice and guidance on industry rules, regulations and firm policies, providing compliance education to branch associates, conducting surveillance reviews, and working on ad hoc projects. Works independently on difficult assignments that require originality and ingenuity with ample latitude for unreviewed actions or decisions.
Essential Duties and Responsibilities
Provides advice and guidance on industry rules, regulations, and firm policies.
Provides compliance training to new PCG branch associates.
Delivers educational content to PCG branch associates via webinars and newsletters.
Conducts complex research and reports findings to Compliance, Legal, Regional Supervision, and Regional Management partners.
Consults with other business units on compliance-related matters.
Conducts various surveillance reviews.
Works on ad hoc projects.
Knowledge, Skills, and Abilities
Advanced knowledge of securities industry compliance reviews, SEC, FINRA, state regulators.
Fundamental investment concepts, banking and finance principles.
Financial markets and products.
Skills
Overseeing compliance programs.
Integrating and aligning compliance processes with business processes.
Coordinating complex compliance activities.
Providing support and guidance for compliance efforts.
Identifying and implementing controls and quality assurance processes.
Reviewing materials for compliance with rules and regulations.
Abilities
Provide training, coaching, and mentoring for others.
Partner with other functional areas to accomplish objectives.
Facilitate meetings, ensuring all viewpoints 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 regulations and recommend compliance changes as appropriate.
Educational/Previous Experience Requirements
Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of six (6) years of experience in the financial services industry, compliance, or risk management.
Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications
None Required.
Travel Less than 25%
Workstyle Hybrid
Company Culture 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.
Equal‑Opportunity Employer Statement The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
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