Director, Enterprise Electronic Trading and Controls Compliance Job at Raymond James (St Petersburg)

Job Description

Uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance to support the design, implementation and supervision of a comprehensive electronic trading and controls compliance program, inclusive of SEC Rule 15c3-5 (“the Market Access Rule”). Leads major projects, programs or processes with significant business impact involving cross-functional teams. Supervises others to perform difficult assignments that are broad in nature. Influences strategic direction and develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Maintains extensive contact with customers to identify, research, analyze and resolve complex issues.

Job Responsibility

Develops and maintains compliance programs, systems, policies and procedures to ensure compliance with electronic trading and controls regulations in the U.S.
Organizes and facilitates the enterprise Electronic Trading and Controls Committee on a quarterly basis
Designs and executes electronic trading and controls monitoring activities on a recurring frequency
Works with RJF Compliance Pillars to appropriately ingest Market Access risks, obligations, and to develop KRIs
Uses data and performance indicators to establish control mechanisms and other improvement initiatives, and ensures quality standards are consistently attained or exceeded related to Market Access
Works with the Business Unit Compliance teams to develop, review, and assist in adjusting applicable department supervisory procedures to adapt to changing regulatory matters related to Market Access
Establishes program requirements for international subsidiaries to provide reporting to RJF
Establishes required enterprise electronic trading and controls compliance training to comply with regulatory requirements/expectations
Leads and manages all aspects of large, complex projects through their entire project lifecycle (initiation, planning, execution, closure)
Reviews electronic trading compliance and risk management controls and recommends appropriate changes, as required
Coordinates the preparation and assists applicable U.S. businesses in completing the annual FINRA Market Access 15c3-5 CEO certification
Plans, assigns, monitors, reviews, evaluates, and leads the work of others
Coaches and mentors subordinate, identifies training needs and recommends appropriate development programs
May oversee compliance exception reporting processes and take appropriate action, as required
May perform human resource management activities, including identifying performance problems and approving recommendations for remedial action
evaluating performance
and interviewing and selecting staff
Continually evaluates the department structure and strategic plan, considering future growth. Promotes overall efficiency while maintaining a commitment to compliance standards and excellent service
Ensures processes and procedures support efficient and timely workflow
Performs other duties and responsibilities as assigned

Requirements

Bachelor’s Degree (B.A./B.S.) in a related discipline required with a Master’s degree preferred
Minimum of ten (10) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry
Minimum five (5) years management experience within the financial services industry
Advanced Knowledge of: Concepts, practices, and procedures of securities industry compliance
Rules and regulations of the Securities Exchange Commission (SEC)
Financial Industry Regulatory Authority (FINRA)
and state securities regulatory agencies
Section 404 of the Sarbanes-Oxley Act of 2002
Retail and clearing firm operations
Financial markets and products
Investment concepts, practices and procedures used in the securities industry
Advanced Skill in: Administering regulatory notifications and filings
Planning and scheduling work to meet regulatory organizational and regulatory requirements
Investigating compliances issues and irregularities
Making rule-based and analytical decisions
Identifying and applying appropriate compliance monitoring procedures and tests
Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally
Preparing oral and/or written reports
Project management skills and experience sufficient to successfully complete long and short-term projects
Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases
Ability to: Work under pressure on multiple tasks concurrently, manage those delegated
and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities
Attend to detail while maintaining a big picture orientation
Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives
Establish and communicate clear directions and priorities
Gather information, identify linkages and trends, and apply findings to operations
Maintain currency in laws, rules and regulations related to compliance in assigned functional area (s)
Plan, assign, monitor, review, evaluate and lead the work of others, coach, and mentor others
Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates
Work independently as well as collaboratively within a team environment to resolve problem

Nice to have

Master’s degree
Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts

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Director, Enterprise Electronic Trading and Controls Compliance

Job Description

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