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Job Description

Job Summary:

Under limited direction, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in the securities industry to coordinate governance routines on behalf of PCG Supervision. This role will coordinate with key associates within Supervision to organize agendas, prepare PowerPoint presentations, document meeting minutes, update and publish procedural documents. This role will also assist the governance team and compliance partners in communicating proposed compliance policy changes to specified associates within PCG Supervision to confirm supervisory controls align with policy standards. May be assigned other tasks, as needed.

Essential Duties and Responsibilities:

• Coordinates the creation and/or updating of written supervisory procedures (WSPs) and desktop procedures in response to compliance policy updates, regulatory changes, control changes or otherwise.

• Interacts with associates of varying levels of seniority to create meeting materials and edit procedural documents, where appropriate.

• Maintains, schedules, and coordinates various governance routines.

• Creates meeting agendas and meeting minutes.

• Assists in responding to regulatory, internal audit and/or compliance requests, when appropriate

• Coordinates pre-vetting of policies, procedures or any other applicable document.

• Performs administrative tasks related to procedure implementation, such as posting and editing documents in firm repositories.

• Provides reporting and/or status updates related to procedures.

• May coach, train and mentor other associates.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

Knowledge of:

• Editing policies or procedures related to the financial services industry.

• Foundation in supervisory concepts, practices, and procedures used in the securities industry, financial markets and financial products.

• Knowledge of rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies sufficient to perform the functions of this job.

• Proficiency in Microsoft Office products

• Investment concepts, practices and procedures used in the securities industry.

• Principles of securities industry operations.

• Financial markets and products.

Skill in:

• Excellent writing and presentation skills

• Fluent in Microsoft Office applications

• Planning and scheduling work to meet organizational and regulatory requirements.

• Excellent organizational skills and ability to multi-task.

• Detail orientated to ensure information is clear, concise and accurate.

• Preparing oral and/or written reports.

• Operating standard office equipment and using required software applications.

Ability to:

• Provide training, coaching, and mentoring for 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

• Maintain confidentiality.

• Work independently with minimal direct supervision.

• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels.

• Establish and communicate clear directions and priorities.

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

• Provide a high level of professionalism.

• Promote team cohesiveness, cooperation, and effectiveness.

Salary Range- $80,000 - $90,000

Education

Bachelor’s

Work Experience

General Experience - 3 to 6 years

Certifications

Other License Not Listed - Other

Travel

Less than 25%

Workstyle

Hybrid

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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