CASY-MSCCN Jobs

Description

Department Overview:

Raymond James Financial is a Florida-based diversified holding company, headquartered in St. Petersburg, FL. Raymond James provides financial services to individuals, corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset management.

The Supervision department partners closely with the business to proactively mitigate risk. Our department supports business units by managing activity/account reviews, product oversight, escalation/approvals and governance guided by specialized knowledge. Supervision is committed to supporting and protecting clients and the firm while preserving our culture, and adhering to our core values of client first, conservatism, independence and integrity.

At Raymond James, we are putting the power of perspectives into action and building an inclusive and diverse workforce that reflects our commitment to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships, and continuing education options.

Job Summary

The Supervision Development Program is an 18 month program consisting of three (3) rotations, six (6) month in duration in various Centers of Expertise teams to develop a strong knowledge and understanding of the supervisory oversight responsibilities of the firm.

Under general supervision, Supervision Development Program associates get hands-on experience and exposure to various functional departments within Raymond James Supervision. The Supervision Development Program offers different areas of focus depending on the candidate’s experience and interest. The associate will gain knowledge and skills in securities and banking industry compliance and supervision to develop, administer and oversee reviews of FINRA and SEC rules and regulations. The associate will also participate in projects with significant scope and impact and provide assistance in the oversight related to change management (e.g. new products, business ventures, remediation activities, knowledge management and examination support). The associate will execute on the responsibilities delegated by Supervision team leaders and report information relevant to the unit’s performance including any potential issues.

Essential Duties and Responsibilities

• In each rotation, the associate will:

• Through training and educational sessions, gain the knowledge and understanding to review and monitor various sales practices activities of advisors and branch managers through the use of various reports and systems.

• Pro-actively partner with the team to gain a baseline knowledge of applicable industry rules (i.e. State, FINRA & SEC) to ensure compliance with platform policies and procedures as they apply to account trading activity of advisor and branch managers clients’ accounts by monitoring advisor and branch manager activity, reporting findings and managing concerns in a professional and educational manner.

• Interface with specific business platform sales management associates to inform them of any supervisory concerns that may arise with advisors and branch office managers and work together with them to address these concerns as well as to resolve any conflicts that may arise related to client accounts of the advisors and branch managers.

• Use reporting and performance indicators to propose and/or assist with establishing control mechanisms and other improvement initiatives.

• Perform special projects as assigned and at the direction of the Assignment Leader or Program Manager, utilize project management skills to manage and reports back on project status.

• Create and present a formal PowerPoint presentation to Senior Leaders at the end of each 6-month assignment.

• Cultivate a network of resources within the Firm upon which to call for assistance.

• Accountable to assigned mentor to assess progress and create plans of action for growth and development opportunities.

• Performs other duties and responsibilities as assigned.

Qualifications

Knowledge, Skills, and Abilities

Knowledge of

• Desire to understand concepts, practices and procedures of securities industry and/or banking principals

• Desire to build skills to develop formal processes and procedures.

• Base understanding of principles of banking and finance and securities industry operations.

• Base understanding of financial markets and products.

Skill in

• Strong interpersonal, written and verbal communication skills.

• Planning and scheduling work to meet regulatory organizational and regulatory requirements.

• Preparing oral and/or written reports.

• Investigating issues and irregularities.

• Making rule-based and analytical decisions.

• Operating standard office equipment and using required software applications.

• Analytical skills with the ability to solve problems, analyze data and execute on solutions.

Ability to

• Implement solutions, working with various internal business units throughout Raymond James.

• Optimize work processes, multi-task and handle multiple projects with demonstrated follow-through.

• Interpret and apply regulations and identify and recommend changes as appropriate.

• Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

• Work independently as well as collaboratively within a team environment.

• Establish and maintain effective working relationships at all levels of the organization.

• Maintain confidentiality.

• Complete both guided and self-directed learning activities.

Education/Previous Experience

• Four-year College or university in a related field and relevant internships/campus involvement.

• Previous internship or co-op program experience preferred

Licenses/Certifications

• FINRA Series 7 and FINRA Series 24 (or 9/10) licensures required by completion of the 18 month program

Job: Compliance

Primary Location: US-FL-St. Petersburg-Saint Petersburg

Organization Supervision

Schedule Full-time

Job Shift Day Job

Travel No

Req ID: 2401031