Internal ID: 1702043
Job Summary: Under limited supervision uses specialized knowledge and skills obtained through experience, specialized training or certification to administer and analyze various compliance and suitability reviews to detect trends, trading patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Approves day-to-day trading activity. Leads defined work or projects of moderate scope and complexity. Essential Duties and Responsibilities:
- Conducts compliance and suitability reviews, and monitors trading activities, through the use of various reports and systems.
- Pro-actively monitors and ensures that trading activities in clients’ accounts meet the objectives of those accounts. Reports findings and manages concerns in a professional manner.
- Interfaces with sales management associates to inform them of any supervisory concerns that may arise with branch office managers/FAs and works together with them to address these concerns as well as to resolve any conflicts that may arise related to client accounts.
- Monitors and keeps up to date with regulations regarding trading activity in client accounts and applies them accordingly.
- May participate in the formation of policies related to compliance.
- Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities: Knowledge of:
- Investments and trading, securities industry regulations, and client suitability (all at a level consistent with the Series 24 and/or 9/10 licensing as required by functional area). Familiarity/facility with RJ and its systems is preferable.
- Company’s working structure, policies, mission, and strategies.
- General office practices, procedures, and methods.
- Suitability and other compliance issues involved with branch manager/FA trading activity.
- Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, presentations, and databases.
- Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies.
- Detail orientation to ensure the regulatory liability is limited, without impairing workflow.
- Utilizing business-appropriate phone manners.
Educational/Previous Experience Requirements:
- Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision.
- Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels including branch managers/FAs.
- Establish and communicate clear directions and priorities.
- Provide a high level of customer service.
- Bachelor’s degree (B.A) in a related discipline and a minimum of 3 years experience in retail securities sales, sales management, operations, or compliance.
- Any equivalent combination of experience, education, and/or training approved by Human Resources.
- Series 7 license Required.
- Must obtain Series 24 license within 60 days from hire.
- Additional licenses required for assigned functional area such as Series 9/10, Series 53 and/or Life, Health & Variable Annuity Insurance License, or ability to obtain within designated timeframe.
JobAuditing & CompliancePrimary LocationUS-FL-St. Petersburg-Saint PetersburgOrganizationRJFS ComplianceScheduleFull-timeShiftDay JobTravelYes, 5 % of the Time