**Job Description** **Job Summary** Under general supervision, uses specialized knowledge and skills obtained through experience, specialized training and/or certification in securities and/or banking industry compliance to support the Registrations department and its business partners. Collaborates with manager and team on data collection, validation, analysis, and reporting of the Firm’s registration metrics to drive key business decisions. Works closely with manager on developing and improving compliance monitoring by analyzing trends and identifying risk related to registration related policies, processes, and procedures. Perform monitoring of risk based functions, identify gaps/opportunities for enhancements and report to business partners. Responsible for creating efficiencies in the current data collection, monitoring and reporting process. Maintains regular contact with internal customers to identify, research, and resolve problems. Serves as a technical advisor to the Registrations department for certain programs. **Essential Duties and Responsibilities** + Performs monitoring of registration activities in accordance with procedures and within tight deadlines. + Completes monitoring template to document and track results and trends. + Pulls, maintains and deciphers data from internal and external systems within established guidelines for monitoring and control purposes. + Assists in implementing adequate monitoring and control processes to provide early identification of potential compliance risks. + Creates and produces relevant and appropriate reports on registrations metrics. + Uses regulatory thresholds to establish monitoring and control mechanisms and other improvement initiatives. + Updates existing programs, policies and procedures, as directed. + Provides support and guidance for registration efforts. + Partners with other groups within Registrations and Compliance to ensure delivery of a cohesive product. + Assists management in implementing adequate controls and monitoring processes to provide early identification of potential compliance problems. + Assists in researching registration issues. + Reports registration program status and activities to management. + Assists with internal and external examinations, including gathering requested information and reports. + Owns assigned projects and drives initiatives to completion. + Performs other duties and responsibilities as assigned. **Knowledge, Skills, and Abilities** **Knowledge of:** + MS Excel skills including pivot tables, VLOOKUP, formatting and charts. + PowerPoint skills. + Key metric indicators and risk management concepts. + Strong analytic and problem-solving skills. + Ability to work in multiple computer systems and software applications. + Concepts, practices and procedures of securities industry and/or banking compliance reviews. + Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; Municipal Securities Rulemaking Board (MSRB); National Futures Association (NFA) and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies. + Fundamental investment concepts, practices and procedures used in the securities industry. + Principles of banking and finance and securities industry operations. + Financial markets and products. **Skill in:** + Monitoring compliance programs. + Integrating and aligning compliance processes and procedures 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. + Researching compliance issues. + Developing compliance training programs. + Gathering information and preparing oral and written reports. + Preparing and delivers written and oral presentations. + Investigating compliance irregularities. + Making rule-based and analytical decisions. + Operating standard office equipment and using required software applications. **Ability to:** + Attend to detail while maintaining a big picture orientation. + Gather information, identify linkages and trends, and apply findings to assignments. + Interpret and apply securities and/or banking regulations and identify and recommend compliance 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. + 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. + Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance. **Education** Bachelor’s **Work Experience** General Experience - 13 months to 3 years **Certifications** **Travel** Less than 25% **Workstyle** Hybrid 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 At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. \#LI-AF1