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Job Description Summary

Under intermittent supervision, extensive knowledge and skills obtained through education and experience in the securities industry and compliance to conduct surveillance of an array of broker-dealer and investment advisory risk topics utilizing data-driven and analytics-based tools. Applies a risk-based approach to identifying, assessing, and escalating conduct, regulatory, compliance, and reputational risks. Independently analyzes large and complex data sets to identify trends, patterns, anomalies, and emerging risk themes. Develops clear, executive-level summaries of outcomes and recommended next steps, as applicable. Works both independently and across the team on difficult assignments that are broad in nature, requiring analysis with a high degree of judgment and latitude for unreviewed actions or decisions. Maintains extensive contact with internal stakeholders to identify, research, analyze, and resolve complex issues.

Job Description

Essential Duties and Responsibilities

• Apply a risk-based surveillance framework to evaluate potential compliance and conduct risks, assess business activities, and recommend appropriate escalation and resolution strategies.

• Utilize advanced analytics, surveillance platforms, and data-driven methodologies to identify trends, anomalies, emerging risks, and potential areas of regulatory concern.

• Conduct comprehensive surveillance reviews and investigations related to broker-dealer and investment adviser activities to detect potential violations of firm policies, industry standards, and regulatory requirements.

• Perform thematic risk analyses to identify underlying risk drivers, control gaps, and emerging areas of concern across the organization.

• Develop and deliver executive-level dashboards, reports, and presentations utilizing Microsoft Excel and PowerPoint to effectively communicate surveillance outcomes, risk trends, and actionable insights.

• Support the reporting and ongoing evaluation of surveillance program effectiveness, including key activities, findings, and outcomes for Compliance Management.

• Provide strategic, risk-based recommendations to senior leadership by leveraging regulatory expertise, industry knowledge, and analytical findings.

• Research and interpret complex regulatory developments, compliance issues, and industry trends to inform surveillance activities and risk assessments.

• Collaborate and engage regularly with Vice Presidents, Senior Vice Presidents, Chief Compliance Officers, and Supervision Management to discuss investigation results, emerging risks, and mitigation strategies.

• Present investigative findings, thematic observations, and recommended corrective actions through clear, concise, and impactful written and verbal communications.

• Perform other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced Knowledge of:

• Concepts, practices, and procedures of securities industry and/or banking compliance risk management and/or surveillance.

• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; 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 securities, investment products, insurance, annuities, and advisory programs.

Skill in:

• Conducting risk-based surveillance reviews across broker-dealer and investment adviser activities.

• Leveraging surveillance platforms, analytical tools, and data-driven methodologies to identify trends, patterns, anomalies, and emerging risks.

• Documenting review rationale, conclusions, escalations, and outcomes in approved systems to support governance, audit, and regulatory defensibility

• Assessing regulatory, compliance, conduct, and reputational risks and recommending appropriate escalation or mitigation strategies.

• Investigating surveillance alerts, exceptions, and other identified irregularities to determine potential violations of firm policy or regulatory requirements.

• Performing thematic analyses to identify risk trends, root causes, and control weaknesses.

• Interpreting and applying SEC, FINRA, and investment adviser regulatory requirements to surveillance activities and risk assessments.

• Researching complex compliance issues, regulatory developments, and industry trends.

• Developing and enhancing surveillance reviews, monitoring processes, and risk identification methodologies.

• Gathering, analyzing, and synthesizing information from multiple data sources to support risk assessments and investigations.

• Preparing executive-level reports, dashboards, and presentations using Microsoft Word, PowerPoint, and Excel.

• Summarizing complex findings into clear risk themes, conclusions, and actionable recommendations for management.

• Communicating effectively through written reports, presentations, and discussions with senior management and stakeholders.

• Making sound risk-based decisions through the application of analytical techniques, regulatory knowledge, and professional judgment.

• Compiling information and preparing oral and written reports leveraging Microsoft Word, PowerPoint and Excel.

Ability to:

• 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 with all organizational levels.

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

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

• Attend to detail while maintaining a big picture orientation.

• Maintain confidentiality.

• Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance.

Educational/Previous Experience Requirements

• Bachelor's Degree (B.A./B.S.) in a related discipline and a minimum of six (6) years of experience in the financial services industry, compliance, or risk management.

~or~

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

• SIE required provided that an exemption or grandfathering cannot be applied

• Series 7 required or the ability to obtain within 90 days.

Education

Work Experience

Certifications

Travel

Less than 25%

Workstyle

Hybrid

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

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.

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