Job Description Summary
Note: This role is hybrid based in St. Petersburg, FL; however, we are open to considering remote candidates outside of the local area for the right experience and skillset.
Under limited supervision and with substantial autonomy, the candidate will apply deep regulatory and compliance expertise to provide independent advisory and control oversight of retail equities and options trading within Global Wealth Solutions. Partners with business, risk, and compliance stakeholders to evaluate trading practices, interpret regulatory requirements, assess controls effectiveness, and address emerging risks. Leads complex, high-impact initiatives, exercises sound judgment in resolving escalated matters, and engages regularly with internal partners and regulatory bodies to support governance, regulatory adherence, and risk mitigation.
Job Description
Essential Duties and Responsibilities
Provides advisory compliance oversight for retail equities and options trading, including review of exception reporting, trading activities, and corrective actions.
Partners with business units to strengthen policies, controls, and regulatory adherence.
Leads and coordinates compliance processes, audits, and reporting.
Researches and interprets regulatory developments.
Represents Compliance in cross-functional initiatives, and drive process improvements and automation efforts.
Represents Business Unit Compliance in cross-Compliance Dept initiatives (Risk and Control Self Assessment, Regulatory Change Management).
Serves as a subject matter resource to stakeholders while independently managing priorities, projects, and competing demands with strong organizational and interpersonal effectiveness.
Coaches, trains, and mentors other Compliance associates, as needed.
Serves as a compliance liaison on various committees and projects representing the interest of the department.
Attends and delivers presentations at industry-related conferences.
Researches and drafts responses to regulatory inquiries and exams.
Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities
Advanced Knowledge of:
Strong knowledge of U.S. equity and options market structure, order handling, execution practices, and retail trading workflows
Experience in trading, advisory compliance, supervision, or regulatory oversight within a broker-dealer environment
Solid understanding of SEC and FINRA rules applicable to retail trading (e.g., best execution, Reg NMS, Reg SHO, order routing, options suitability, supervision frameworks, trade reporting)
Ability to assess trading-related risks, interpret complex regulatory requirements, and apply them pragmatically to business processes
Analytical capability to review exception reporting, surveillance outputs, and trading data to identify trends and emerging risks
Strong project management skills, including the ability to lead cross-functional initiatives, manage competing priorities, and deliver results independently
Experience supporting regulatory exams, audits, and remediation efforts
Ability to drive process improvements and enhance control frameworks in a dynamic trading environment
Advanced Skill in:
Administering regulatory notification and filings.
Planning and scheduling work to meet regulatory organizational and regulatory requirements.
Identifying and applying appropriate compliance monitoring procedures and tests.
Preparing oral and/or written reports.
Investigating compliances issues and irregularities.
Making rule-based and analytical decisions.
Strong verbal and written communication.
Operating standard office equipment and using required software applications.
Ability to:
Coach and mentor others.
Partner with other functional areas to accomplish objectives.
Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.
Attend to detail while maintaining a big picture orientation.
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.
Establish and maintain effective working relationships at all levels of the organization.
Maintain confidentiality.
Maintain currency in laws, rules and regulations related to compliance in assigned functional area.
Interpret and apply policies and identify and recommend changes as appropriate.
Quantitatively and/or qualitatively process data.
Formulate and implement department strategies consistent with long-term company goals.
Promote team cohesiveness, cooperation, and effectiveness.
Educational/Previous Experience Requirements
Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of eight (8) 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
None Required.
Series 7, 55/57 and 4 are strongly preferred
Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
Education
Work Experience
Certifications
Travel
Less than 25%
Workstyle
Remote
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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