2025 Spring Associate - SumRidge Compliance - Jersey City, NJ

Raymond James Overview

One of the largest independent financial services firms in the country could be the place you build a career beyond your expectations.

Our focus is on providing trusted advice and tailored, sophisticated strategies for individuals and institutions. Raymond James Financial is a diversified holding company, headquartered in St. Petersburg, FL. Raymond James provides financial services to individuals, corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset management.

At Raymond James, we are putting the power of perspectives into action and building an inclusive and diverse workforce that reflects our commitment to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships, and continuing education options.

We strive to ensure everyone feels welcomed, valued, respected and heard so that you can fully contribute your unique talents for the benefit of clients, your career, our firm and our communities. Raymond James is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

Department Overview

SumRidge Partners LLC is a top ranked principal based fixed income market maker, specializing in high yield and investment grade corporate bonds, municipal bonds, institutional preferred securities and emerging market bonds. SumRidge Partners was formed in 2010 following the aftermath of the financial crisis and subsequent liquidity shortfall that occurred within fixed income trading; operating as a premier, electronic based fixed income market maker.

The compliance department is responsible for ensuring that the firm operates within legal and ethical standards, and in accordance with the company's policies and procedures. The compliance department creates and implements policies and procedures to help the company comply with regulations. It also identifies regulatory risks and provides advice.

For more information about SumRidge, visit https://link.edgepilot.com/s/49f83d7b/lI1V5OrklUuF-wtxNcAvRA?u=http://www.sumridge.com/

Seasonal Analyst Job Summary

Under general supervision, the SumRidge Compliance Spring Associate uses knowledge and skills obtained through formal education and/or experience to work on specific projects within an assigned functional area. The spring associate follows established procedures to perform tasks and receives general guidance and direction to perform other work with substantial variety and varied complexity. Some judgment is required to adapt procedures, processes, and techniques to apply to more complex assignments. Routine contact with internal and external customers may be required to exchange basic information.

This is a temporary role.

Work Schedule: Up to 20 hours per week for a limited time, determined by department need.

Start Date: January 2025

Duties and Responsibilitie

• li" data-ccp-parastyle-defn="{"ObjectId":"ed1c67a3-f852-4504-a02e-05beaf056c9f|162","ClassId":1073872969,"Properties":[268442635,"24",469777841,"Times New Roman",469777842,"Times New Roman",469777843,"Times New Roman",469777844,"Times New Roman",469769226,"Times New Roman",335559704,"1025",335559705,"1033",335551547,"1033",469775450,"ul > li",201340122,"2",134233614,"true",469778129,"ulli",335572020,"1",469778324,"Normal"]}" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">Assist li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;"> with regulatory filings.

• li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">Dealing with regulatory agencies and research regulations.

• li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">Preparation and review of policies and procedures.

• li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">Implementation of compliance programs/control frameworks.

• li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">Analyzing and implementing existing and new regulations.

• li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">Specified projects and varied assignments relating to the li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;"> li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text; background-position: 0px 100%; background-repeat: repeat-x; background-image: var(--urlSpellingErrorV2,); border-bottom: 1px solid transparent;">SumRidge li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;"> Compliance Department li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">.

• li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">Works independently on assigned projects and tasks, meeting all delivery deadlines li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">.

• li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">Operates standard office equipment and uses required software applications li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">.

• li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">Performs other duties and responsibilities as assigned.

Qualifications:

Knowledge, Skills, and Abilities

Knowledge of

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• li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">Fundamental concepts, practices, and procedures of a professional office environment.

• li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">Basic concepts, principles, and practices of an assigned business unit.

• li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">Microsoft Office Suites and other enterprise applications.

Skill in

• li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">Strong ability to multitask

• li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">Demonstrate strong professional work ethic

• li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">Basic understanding of Bloomberg and Microsoft Office.

• li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">Operating standard office equipment and li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text; background-position: 0px 100%; background-repeat: repeat-x; background-image: var(--urlContextualSpellingAndGrammarErrorV2,); border-bottom: 1px solid transparent;">using, or li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;"> having the ability to learn, li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">required li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;"> software applications.

• li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">Ability to work effectively as part of a team.

Ability to

• li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">Be self-motivated and ambitious

• li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">Willingness to volunteer and help others.

• li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">Organize and prioritize multiple tasks and meet deadlines.

• li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">Communicate effectively, both orally and in writing.

• li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">Work independently and collaboratively within a team environment.

• li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">Provide li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">a high level li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;"> of customer service.

• li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">Establish and li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">maintain li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;"> effective working relationships.

li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">

Educational/Previous Experience Requirement

• li" style="-webkit-user-drag: none; -webkit-tap-highlight-color: transparent; margin: 0px; padding: 0px; user-select: text;">Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certification

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Location

IN PERSON POSITION - JERSEY CITY, NJ

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#wayup

Raymond James Guiding Behaviors

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 outcome

• 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