Job preview
Responsibilities
- Under intermittent supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to support the design and implementation of the Disclosure Governance program
- Ensures firm policies and program procedures are up-to-date and commensurate with the level of risk being mitigated
- Drives program processes to ensure timely and consistent implementation of disclosure changes
- Assists with large or multiple projects with significant scope and impact
- Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with a high level of latitude for un-reviewed actions or decisions
- Provides comprehensive solutions to vastly complex problems
- Maintains extensive contact with internal customers to identify, research, analyze and resolve very complex issues
- Facilitates the implementation of disclosure change requests and communicates with applicable stakeholders
- Collaborates with business, compliance, and legal stakeholders on revisions to disclosures, as needed
- Leads the disclosure governance meetings with operational stakeholders
Job description
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Job Summary
Under intermittent supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to support the design and implementation of the Disclosure Governance program. Ensures firm policies and program procedures are up-to-date and commensurate with the level of risk being mitigated. Drives program processes to ensure timely and consistent implementation of disclosure changes. Assists with large or multiple projects with significant scope and impact. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with a high level of latitude for un-reviewed actions or decisions. Provides comprehensive solutions to vastly complex problems. Maintains extensive contact with internal customers to identify, research, analyze and resolve very complex issues.
Essential Duties and Responsibilities
- Facilitates the implementation of disclosure change requests and communicates with applicable stakeholders.
- Collaborates with business, compliance, and legal stakeholders on revisions to disclosures, as needed.
- Leads the disclosure governance meetings with operational stakeholders.
- Manages the disclosure change process and document revision lifecycle.
- Collaborates on the multi-year disclosure-related project and planning initiatives.
- Identifies and recommends solutions to automate and streamline functions that improve the operational efficiency of compliance program and processes.
- Ensures that compliance activities are commensurate with the level of risk being mitigated.
- Provides subject matter advice and guidance for disclosure changes and client disclosure documents.
- Informs Senior Compliance Leadership about issues that may involve rule violations or potential liability.
- Assists with the implementation of adequate controls and quality assurance processes to detect and address potential compliance risk.
- Researches and recommends solutions to compliance issues.
- Develops and maintains relevant compliance program policies and procedures.
- Develops applicable training for disclosure-related initiatives, including maintaining training records and coordinating training with other associates and teams.
- Reports compliance program status and activities to compliance and business management.
About Raymond James
Raymond James Financial is a Florida-based diversified holding company. 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.
Industry
Finance and insurance
Company size
10000+ Employees
Headquarters location
Saint Petersburg, FL, US
Year founded
1962
