Job Information
Raymond James Financial, Inc. Compliance Manager, Data Analytics in Saint Petersburg, Florida
Essential Duties and Responsibilities
Builds and maintains Compliance Surveillance controls covering business entities such as: PCG, GEIB, Advisory & Product areas, RIA & Custody Services.
Designs custom Compliance dashboards self-service driven model charting to identify key risks, builds data models for integration amongst disparate data sources, QA/Test to ensure validity and transparency of source data.
Collaborates with Compliance Leaders as well as IT leaders to ensure legitimacy and correctness of data sources
Tests all outputs against verifiable sources to ensure delivery of Surveillance Controls & Reporting to ensure accuracy.
Evaluates scope and selects technology components for designing appropriate solutions during development.
Designs and implements highly customized large scale data solutions that augment risk mitigation.
Performs extensive analysis of database entities, relationships and attributes.
Participate in both data design and data processing sessions for assigned projects and teams.
Optimize ETL processes using Microsoft SQL Server or AWS Redshift best practices.
Evaluate the content, accuracy and completeness of data models and file specifications.
Coaches, trains, and mentors less experienced Compliance Specialists.
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.
Assists management to implement adequate controls and processes to detect and address potential compliance problems.
May make risk-based recommendations to Senior Management using industry knowledge.
Routinely interacts with Chief Compliance Officer, Associate Compliance Directors, Compliance Managers and associates, Supervision & Supervision management.
Prepares and delivers written and oral presentations to management.
Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities
Knowledge of:
Advanced data analytics concepts.
Concepts, practices, and procedures of securities industry preferred.
Control functions such as Compliance, Supervision, or Financial Crimes.
Fundamental investment concepts, practices and procedures used in the securities industry.
Financial markets and products.
Skill in:
Common SQL language.
Qlik dashboard development and data manipulation.
AWS Redshift querying and navigation
Written and verbal communication.
Providing support and guidance for compliance efforts.
Identifying and implementing controls and quality assurance processes.
Researching compliance issues.
Gathering information and preparing oral and written reports.
Preparing and delivering written and oral presentations.
Investigating relevant irregularities.
Operating standard office equipment and using required software applications.
Ability to:
Provide training, coaching, and mentoring for others.
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 linkages and trends, and apply findings to assignments.
Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.
Work independently as well as collaboratively within a team environment.
Provide a high level of customer service.
Establish and maintain effective working relationships at all levels of the organization.
Maintain confidentiality.
Educational/Previous Experience Requirements
- Bachelor’s degree (B.A. /B.S.) and a minimum of six (6) years of experience in Compliance and/or the financial services industry preferred.
or
- Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications
None Required.
Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.