Senior Advisor, Compliance - Bank; Hybrid

Pay Competitive

Location:

Saint Petersburg, Florida

Employment type:

Full-Time

Job Summary

Under general supervision, uses extensive knowledge and skills obtained through experience, specialized training and/or certification in the banking and financial services industry to ensure compliance with applicable banking rules and regulations. Works within Raymond James Bank to coordinate compliance functions, guides compliance efforts, and acts as a liaison between functional areas. Experience with Securities Based Lending (SBL), Structured Lending, and Mortgage Lending a plus.

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

• Oversees elements of the RJ Bank compliance program(s) for an assigned business entity to ensure processes and procedures are aligned with regulatory compliance requirements.
• Ability to perform risk-based compliance testing and monitoring.
• 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/area.
• Ability to determine matters requiring escalation to RJ Bank Compliance Management and does so with the appropriate level of urgency.
• Advises Senior Compliance Management on issues that involve possible rule violations and potential liability.
• Participates in review of policies, procedures, test findings, and action plans produced for completeness and accuracy.
• Reviews marketing materials, disclosures, notices, compliance related regulatory reports, and forms for compliance with rules and regulations.
• Assists Management to implement adequate controls and quality assurance processes to detect and address potential compliance problems.
• Researches, interprets and translates regulatory rules and regulations for Senior Management.
• Reviews documentation related to compliance issues for validity and alignment with organizational policies.
• May coordinate and/or oversee responses to regulatory agency inquiries.
• Prepares and delivers written and oral presentations to Management.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

• Concepts, practices and procedures of the banking and financial services industries.
• Concepts, practices and procedures of banking and financial services compliance.
• Rules and regulations of the Federal Reserve Banking System (FRB);
  Consumer Financial Protection Bureau (CFPB);
  Federal Deposit Insurance Corporation (FDIC);
  Federal Financial Institutions Examination Council (FFIEC);
  Florida Office of Financial Regulation (OFR), and other state banking regulatory agencies.
• Principles of banking and finance and securities industry operations.
• Financial markets and products.

Skill in:

• Providing support and guidance for compliance efforts.
• Identifying and implementing controls and quality assurance processes.
• Integrating and aligning compliance processes and procedures with business processes.
• Coordinating complex compliance activities.
• Reviewing materials for compliance with rules and regulations.
• Researching regulatory and compliance topics.
• Acquiring information and preparing oral and written reports.
• Preparing and delivering written and oral presentations.
• Making rule and risk-based analytical decisions.
• 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.
• Gather information, identify connections and trends, and apply findings to assignments.
• Interpret and apply banking regulations and identify and…