Advisor, Compliance- Anti-Bribery and Anti-Corruption (Remote Option Available)

Job Summary

Under general supervision, uses knowledge and skills obtained through experience, specialized training and/or certification to ensure compliance with applicable anti-bribery and anti-corruption laws, regulations, and standards, in the financial services industry. Coordinates compliance functions, guides compliance efforts, and act as a liaison between functional areas. Possesses proficient skills in PowerPoint, Excel, Microsoft Office products, and similar applications to develop, analyze, prepare and revise reports and other materials relevant to the Anti-Bribery and Anti-Corruption Program. Works independently on difficult assignments that are broad in nature and that require originality and ingenuity with appreciable latitude. Provides comprehensive solutions to complex problems.

Essential Duties and Responsibilities

• Conduct due diligence to identify bribery and corruption risk on vendors, prospective employees, charitable contributions and third-party relationships,

• Assist in the development of compliance trainings,

• Assist in performing risk assessments,

• Assist in the development of policies, standards, and procedures to help manage and mitigate anti-bribery and anti-corruption risk,

• Prepare and enhance reporting for senior management and other audiences on anti-bribery and anti-corruption matters,

• Responds to Anti-Bribery and Anti-Corruption policy and process related inquiries,

• Researches Anti-Bribery and Anti-Corruption related issues,

• Support a culture of risk management and compliance throughout all levels within the firm,

• Performs other duties and responsibilities as assigned.

Qualifications:

Knowledge, Skills, and Abilitie

Knowledge of:

• 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; 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.

Educational/Previous Experience Requirement

Education/Previous Experience

• Bachelor's degree (B.A. /B.S.) and zero (0) to two (2) years of experience in Compliance and/or the financial services industry.

• ~or~

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

Licenses/Certifications

• None Required.

• Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.

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