Raymond James

The Client Service Associate provides high-quality administrative support to Financial Advisors and clients, handling a high volume of interactions and processing client transactions. They also ensure the accuracy of client documentation and assist with marketing efforts. | Candidates should have a high school diploma and preferably one or more years of experience in the securities industry or related fields. Effective communication skills and the ability to manage multiple tasks in a fast-paced environment are essential. | Job Description Summary Under direct supervision, uses intermediate skills obtained through experience and training to assist Financial Advisors and provide clients with quality service. Follows established procedures to perform routine tasks and receives general guidance and direction to perform a variety of non-routine tasks with limited decision making responsibility. Routine contact with internal and external customers is required to obtain, clarify or provide facts and information. Job Description Job Summary Celebrating more than 60 years of rich history and recognition for service and excellence in the Financial Services industry, Raymond James is seeking a dynamic Registered Client Service Associate who is a motivated, detail oriented and creative problem solver to join our growing team. This essential role helps to provide high quality/high touch critical administrative support to Financial Advisors, their prospective and existing clients and other branch staff team members. The ideal candidate will have effective communication skills across multiple platforms (phone, email, in-person, virtual), as well as the ability to organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment. Come grow with us and see where a career at Raymond James could take you! Essential Duties and Responsibilities Services a high volume of daily interactions, including basic inquiries and scheduling of meetings, with prospective and existing clients on the phone, in-person, virtually and through mailings. Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office. With a high level of organization and accuracy, processes client financial transactions and financial advisor and branch office expenses and expense reports. Opens new client accounts and researches client and security information using internal databases and other technologies. For proper maintenance and to meet firm and industry requirements, ensures client paperwork and documentation is accurate and correct prior to submission and processing. Follows up to ensure accurate completion. Prepares letters, forms and reports to assist with servicing existing clients and prospecting for new clients. Prepares various business summary reports and client-specific reporting as needed for review by the financial advisor. Creates and maintains records and files utilizing Client Relationship Management (CRM) software. Assists Financial Advisors with marketing efforts including seminars and other client-facing events. May enter orders at the direction of the Financial Advisor. Actively engages in available training/cross-training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures. Performs other duties and responsibilities as assigned. Knowledge of Company’s working structure, policies, mission, and strategies. General office practices, procedures, and methods. Investment concepts, practices and procedures used in the securities industry. Financial markets, products and industry regulations. Skill in Client Relationship Management (CRM) software, or similar contact management software. Excel, including developing spreadsheets as needed and for ongoing reporting. Effective communication across multiple client interactive platforms (in-person, virtual, phone and mail) Ability to Operate standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases. Analyze and research account information. Organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment. Identify time sensitive items and assess competing priorities. Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns. Handle stressful situations and provide a high level of customer service in a calm and professional manner. Analyze problems and establish solutions in a fast paced environment. Use mathematics sufficient to process account and transaction information. Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels, in person and virtually. Work both independently and as part of a cohesive team. Provide a high level of customer service. Education/Previous Experience High School Diploma or equivalent and one (1) or more years securities industry or related work experience preferred, or an equivalent combination of experience, education, and/or training as approved by Human Resources. Education High School (HS) (Required) Work Experience General Experience - 0 to 3 months Certifications Travel Less than 25% Workstyle Remote 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. Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm. Today, Raymond James has locations and subsidiaries across the United States, Canada, the United Kingdom and Germany, and is listed on the New York Stock Exchange under the symbol RJF. Thanks for your interest in working with Raymond James. While we might not have the perfect role for you today, we'd love to keep in touch. Join our Talent Network to stay up to date on career opportunities that may be a good fit for you. Our business is deeply focused on people and their financial well-being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good aren't mutually exclusive. As an established but ever-evolving company, you can start – or continue – growing your career here. We invest in you with wide-ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow. Our people-first culture is outlined in our Culture Blueprint. Check it out to see why many choose to work at Raymond James – and why they stay.

The Client Service Associate provides high-quality administrative support to Financial Advisors and their clients, handling inquiries, scheduling meetings, and processing financial transactions. They also prepare reports, maintain records, and assist with marketing efforts. | Candidates should have a high school diploma and preferably one or more years of experience in the securities industry or a related field. Strong communication skills and the ability to manage multiple tasks in a fast-paced environment are essential. | Job Description Summary Job Description Job Summary Celebrating more than 60 years of rich history and recognition for service and excellence in the Financial Services industry, Raymond James is seeking a dynamic Registered Client Service Associate who is a motivated, detail oriented and creative problem solver to join our growing team. This essential role helps to provide high quality/high touch critical administrative support to Financial Advisors, their prospective and existing clients and other branch staff team members. The ideal candidate will have effective communication skills across multiple platforms (phone, email, in-person, virtual), as well as the ability to organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment. Come grow with us and see where a career at Raymond James could take you! Essential Duties and Responsibilities Services a high volume of daily interactions, including basic inquiries and scheduling of meetings, with prospective and existing clients on the phone, in-person, virtually and through mailings. Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office. With a high level of organization and accuracy, processes client financial transactions and financial advisor and branch office expenses and expense reports. Opens new client accounts and researches client and security information using internal databases and other technologies. For proper maintenance and to meet firm and industry requirements, ensures client paperwork and documentation is accurate and correct prior to submission and processing. Follows up to ensure accurate completion. Prepares letters, forms and reports to assist with servicing existing clients and prospecting for new clients. Prepares various business summary reports and client-specific reporting as needed for review by the financial advisor. Creates and maintains records and files utilizing Client Relationship Management (CRM) software. Assists Financial Advisors with marketing efforts including seminars and other client-facing events. May enter orders at the direction of the Financial Advisor. Actively engages in available training/cross-training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures. Performs other duties and responsibilities as assigned. Knowledge of Company’s working structure, policies, mission, and strategies. General office practices, procedures, and methods. Investment concepts, practices and procedures used in the securities industry. Financial markets, products and industry regulations. Skill in Client Relationship Management (CRM) software, or similar contact management software. Excel, including developing spreadsheets as needed and for ongoing reporting. Effective communication across multiple client interactive platforms (in-person, virtual, phone and mail) Ability to Operate standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases. Analyze and research account information. Organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment. Identify time sensitive items and assess competing priorities. Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns. Handle stressful situations and provide a high level of customer service in a calm and professional manner. Analyze problems and establish solutions in a fast paced environment. Use mathematics sufficient to process account and transaction information. Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels, in person and virtually. Work both independently and as part of a cohesive team. Provide a high level of customer service. Education/Previous Experience High School Diploma or equivalent and one (1) or more years securities industry or related work experience preferred, or an equivalent combination of experience, education, and/or training as approved by Human Resources. Education High School (HS) (Required) Work Experience General Experience - 0 to 3 months Certifications Travel Less than 25% Workstyle Remote 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. #LI-AC1 Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm. Today, Raymond James has locations and subsidiaries across the United States, Canada, the United Kingdom and Germany, and is listed on the New York Stock Exchange under the symbol RJF. Thanks for your interest in working with Raymond James. While we might not have the perfect role for you today, we'd love to keep in touch. Join our Talent Network to stay up to date on career opportunities that may be a good fit for you. Our business is deeply focused on people and their financial well-being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good aren't mutually exclusive. As an established but ever-evolving company, you can start – or continue – growing your career here. We invest in you with wide-ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow. Our people-first culture is outlined in our Culture Blueprint. Check it out to see why many choose to work at Raymond James – and why they stay.

The Advisor Recruiting Specialist is responsible for consulting with experienced Financial Advisors and assisting them in exploring affiliation with Raymond James. This role involves planning and following up on referrals, maintaining connections with candidates, and collaborating with internal stakeholders to ensure a seamless recruiting process. | A Bachelor’s Degree is preferred along with a minimum of five years of experience in business development or sales within the financial services industry or recruitment of experienced financial advisors. An equivalent combination of experience, education, and/or training may also be considered. | Job Description Summary Plans and implements pursuit of strategic opportunities for a particular business or organization, for example, by cultivating partnerships and recruitment relationships with Financial Advisors. Job Description Job Summary Under limited supervision, uses advanced knowledge and skills obtained through experience recruiting Financial Advisors. The Advisor Recruiting Specialist is responsible for consulting with experienced Financial Advisors and assisting in their exploration of affiliating with Raymond James. The Advisor Recruiting Specialist creates a customized recruiting experience and process including initial calls and subsequent next steps with the involvement of the Advisor Recruiting Consultant (ARC) at key stages and or by the ARC’s direction. The Advisor Recruiting Specialist role involves planning and following up on next steps of referrals, including face-to-face meetings, pro-forma analyses, technology demos, transition calls, and Home Office Visits (HOVs), in collaboration with the ARC. The Advisor Recruiting Specialist proactively maintains connections with long-term candidates to drive progress, makes outbound calls to source prospective advisors, and hosts prospects at Raymond James sponsored events. Additionally, the specialist travels to meet advisors as needed, establishes and maintains relationships with internal stakeholders, including but not limited to branch managers and local business owners, to ensure a seamless recruiting process. The Advisor Recruiting Specialist acts in a professional sales and marketing capacity to help meet individual and shared goals. Essential Duties and Responsibilities Initiate outbound prospecting and follow-up calls, which may include cold calls to Financial Advisors and reviving existing warm prospects. Works in a collaborative environment with the ARC and internal team members in order to meet deadline driven objectives. Works to move interested Financial Advisors through the recruiting process, including hosting initial calls and coordinating next steps. May also collaborate with their ARC to recruit smaller prospective advisors under their guidance. The ARC will be looped in prior to the HOV and deal stage Aids in the follow up and planning of next steps alongside ARC for all referrals in the pipeline. This could include but is not limited to: Face to Face Meetings, Pro-Forma, Technology Demos, Transition Calls, and HOVs. Proactively reaches out to longer-term candidates to maintain connections and drive next steps. Makes outbound phone calls as necessary to help source prospective advisors. Ability to host prospects at Raymond James sponsored events. Travels to meet advisors along with the ARC as necessary. Establishes relationships with internal stakeholders to ensure a seamless recruitment process. Lead the work of others and provide training, coaching and mentoring to less experienced associates. Knowledge, Skills, and Abilities Knowledge of Recruiting Concepts, practices and procedures of business development in a financial services environment. Consulting in a Collaborative Team Structure. Principles of finance and securities industry operations. Financial markets and products. Skill in Sourcing and developing sales prospects. Developing business development strategies. Maintaining and expanding referral sources. Making outbound prospecting & follow-up calls and turning them into next step opportunities. Maintaining relationships with all stakeholders. Effective questioning and listening techniques. Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases. Ability to Work closely with ARC in various next steps with and without direction to improve the prospective advisors recruiting experience. Partner with other internal stakeholders to accomplish objectives. Research, interpret, analyze and apply information about prospects and recruiting process. Organize, prioritize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment. Perform fundamental human resource management activities. Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels to accomplish objectives. Work independently as well as collaboratively within a team environment. Educational/Previous Experience Requirements Bachelor’s Degree preferred with a minimum of five (5) years of experience in business development or sales within the financial services industry or recruitment of experienced financial advisors. OR ~ An equivalent combination of experience, education, and/or training approved by Human Resources. Licenses/Certifications None require, 7 preferred. Travel Travel Required: Yes, up to 50% of the Time Education Bachelor’s: Business Administration, Bachelor’s: Marketing Work Experience General Experience – 10 to 15 years Certifications Salary Range $100,000.00-$250,000.00 Travel Up to 50% Workstyle Remote 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. #LI-TG1 Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm. Today, Raymond James has locations and subsidiaries across the United States, Canada, the United Kingdom and Germany, and is listed on the New York Stock Exchange under the symbol RJF. Thanks for your interest in working with Raymond James. While we might not have the perfect role for you today, we'd love to keep in touch. Join our Talent Network to stay up to date on career opportunities that may be a good fit for you. Our business is deeply focused on people and their financial well-being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good aren't mutually exclusive. As an established but ever-evolving company, you can start – or continue – growing your career here. We invest in you with wide-ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow. Our people-first culture is outlined in our Culture Blueprint. Check it out to see why many choose to work at Raymond James – and why they stay.

Build and manage a client book, provide financial advice, and develop investment strategies. | Bachelor's degree, relevant licenses (SIE, Series 7/66, Life/Health), and experience in sales or financial services. | Job Description Summary Fulfills varying tasks and assignments and completes rotations in a range of areas related to financial services, under varying levels of supervision. Develops skills and capabilities that equips the incumbent to move into a specific role in the organization. Job Description Job Summary Through distance learning, apprenticeship and training at the firm’s international headquarters, the Advisor Mastery Program (AMP) offers a comprehensive education for the next generation of Raymond James Financial Advisors. The program takes a holistic approach by incorporating training for technical and sales skills to fully position new Advisors for success. In conjunction with a Mentor, Branch Manager, and/or a team of Financial Advisors, the Financial Advisor Trainee will learn to build an individual practice. The Trainee will balance new client development, sales activities, investment management, customer service and compliance with personal and professional growth and development. The Trainee will also provide clients with sound financial advice and counsel consistent with the client’s objectives, time horizon, and risk tolerance. In addition, the requirements of the AMP Program are designed to support long-term development, whether a candidate plans to be a stand-alone Advisor or join an existing team. Essential Duties and Responsibilities Become trained and skilled to effectively and efficiently perform the Financial Advisor role: If hired as a team candidate, the team will provide the specific goals and expectations. Meets production targets that impact overall company revenue goals. Develops a book of business consistent with AMP program goals for assets under management and required production. Provides a high level of client service. Manages the full scope of a client relationship by evaluating the client’s financial needs, investment opportunities, current holdings and available investment capital. Helps clients identify their investment objectives by effectively communicating portfolio losses when necessary, while preserving client loyalty. Develops client pipeline by prospecting, networking, engaging in community initiatives, centers of influence and developing niches. Recommends investment products, solutions, and services that are suitable for prospects and clients based on predetermined client needs, time horizons, risk profile, and preferences. Seeks expertise of internal resources to identify investment opportunities and solutions for clients. Opens, transfers, and closes customer accounts. Maintains appropriate account records while monitoring the customer's portfolio. Makes recommendations consistent with changes in economic and financial conditions as well as the client's needs and objectives, considering newly offered investments. Obtains and verifies the customer's purchase and sale instructions, enters orders, and follows up on completion of transactions. Completes required program training and assignments, obtains mandatory industry licenses within prescribed timeframes, masters assessments and meets minimum performance and production standards. Stays abreast of investment products, industry rules and regulations, and financial planning. Performs other duties and responsibilities as assigned. Knowledge of Economic and accounting principles and practices. Financial markets, banking, and financial data analysis and reporting. Basic principles and methods for showing, promoting, and selling products or services. Firm’s working structure, policies, mission, strategies, and compliance guidelines. Skill in Operating client relationship manager system and other required software applications to produce financial plans, correspondence, reports, electronic communication, spreadsheets, and databases. Identifying the needs of customers through effective questioning and listening techniques. Ability to Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment to run an optimal practice. Continuously learn investment products, industry rules and regulations, and financial planning. Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels. Keep all appropriate parties up-to-date on decisions, changes, and other relevant information, and articulate reasons behind decisions. Establish and maintain effective working relationships with clients and colleagues. Persevere, handle rejection and show resilience during the prospecting and networking process. Network in the community and effectively market him or herself and Raymond James. Demonstrate persistence in the face of obstacles. Accept criticism and deal calmly and effectively in high stress situations. Education/Previous Experience Bachelor’s Degree (B.A.) from four-year college or university preferred with a minimum of three (3) years of relevant working experience, demonstrating achievement in sales (preferably intangible) or business environment, or an equivalent combination of experience, education, and/or training as approved by Human Resources. Licenses/Certifications SIE required provided that an exemption or grandfathering cannot be applied or ability to obtain within four (4) months from the start of the program. Series 7 and Series 66 or the ability to obtain them within four (4) months from the start of the program. Life, Health and Variable Annuity or the ability to obtain within six (6) months from the start of the program. Education Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Finance Work Experience General Experience - 13 months to 3 years Certifications Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) Travel Less than 25% Workstyle Resident 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. #LI-DG1 Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm. Today, Raymond James has locations and subsidiaries across the United States, Canada, the United Kingdom and Germany, and is listed on the New York Stock Exchange under the symbol RJF. Thanks for your interest in working with Raymond James. While we might not have the perfect role for you today, we'd love to keep in touch. Join our Talent Network to stay up to date on career opportunities that may be a good fit for you. Our business is deeply focused on people and their financial well-being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good aren't mutually exclusive. As an established but ever-evolving company, you can start – or continue – growing your career here. We invest in you with wide-ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow. Our people-first culture is outlined in our Culture Blueprint. Check it out to see why many choose to work at Raymond James – and why they stay.

Provide administrative support to financial advisors and clients, manage client accounts, and assist with client communications. | High school diploma, customer service experience, and strong communication skills; financial industry experience and licenses are preferred but not held by the candidate. | Job Description Summary Supports Financial advisors and their prospective and existing clients and other branch staff team members. Demonstrates effective communication skills across multiple platforms (phone, email, in-person, virtual), as well as the ability to organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment. Job Description Job Summary Celebrating more than 60 years of rich history and recognition for service and excellence in the Financial Services industry, Raymond James is seeking a dynamic Registered Client Service Associate who is a motivated, detail oriented and creative problem solver to join our growing team. This essential role helps to provide high quality/high touch critical administrative support to Financial Advisors, their prospective and existing clients and other branch staff team members. The ideal candidate will have effective communication skills across multiple platforms (phone, email, in-person, virtual), as well as the ability to organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment. Come grow with us and see where a career at Raymond James could take you! Responsibilities: Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes and scheduling of meetings, with prospective and existing clients on the phone, in-person, virtually and through mailings. Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office. Onboards new clients, opens new client accounts and researches client and security information using internal databases and other technologies. Ensures key client information and documentation is current with firm and industry requirements, rules and regulations. Processes and monitors the transfer of assets to ensure all assets and cost basis were successfully received. Monitors available cash awaiting investment, including running weekly cash and cash equivalent reports and contacting clients with investment opportunities to maximize returns. Reviews, assesses and responds to all corporate action items and client account alerts. Prepares financial reports, spreadsheets and other materials for client meetings. Inputs orders and rebalances portfolios on behalf of the Financial Advisors. Creates and maintains records and files utilizing Client Relationship Management (CRM) software. Assists Financial Advisors with marketing efforts including seminars and other client-facing events. Actively engages in available training/cross-training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures. Performs other duties and responsibilities as assigned. Skills: Company’s working structure, policies, mission, and strategies. Managed account platforms. General office practices, procedures, and methods. Investment concepts, practices and procedures used in the securities industry. Financial markets, products and industry regulations. Trading terminology. Client Relationship Management (CRM) software, or similar contact management software. Goal planning software. Excel, including developing spreadsheets as needed and for ongoing reporting. Effective communication across multiple client interactive platforms (in-person, virtual, phone and mail) Operate standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases. Analyze and research account information. Organize, manage, and track multiple, detailed tasks and assignments with. frequently changing priorities and deadlines in a fast-paced, task-oriented work environment. Identify time sensitive items and assess competing priorities. Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns. Handle stressful situations and provide a high level of customer service in a calm and professional manner. Analyze problems and establish solutions in a fast paced environment. Use mathematics sufficient to process account and transaction information. Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels, in person and virtually. Work both independently and as part of a cohesive team. Provide a high level of customer service. Education/Previous Experience High School Diploma or equivalent and one (1) or more years securities industry or related work experience preferred, or an equivalent combination of experience, education, and/or training as approved by Human Resources. Licenses/Certifications SIE required provided that an exemption or grandfathering cannot be applied. Series 7 required. Series 63, 65 and/or 66 as required by state. Education High School (HS) (Required) Work Experience General Experience - 7 to 12 months Certifications s66 - Uniform Combined State Law Examination - Financial Industry Regulatory Authority (FINRA), s7 - General Securities Representative Examination - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) Travel Workstyle Resident 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. Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm. Today, Raymond James has locations and subsidiaries across the United States, Canada, the United Kingdom and Germany, and is listed on the New York Stock Exchange under the symbol RJF. Thanks for your interest in working with Raymond James. While we might not have the perfect role for you today, we'd love to keep in touch. Join our Talent Network to stay up to date on career opportunities that may be a good fit for you. Our business is deeply focused on people and their financial well-being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good aren't mutually exclusive. As an established but ever-evolving company, you can start – or continue – growing your career here. We invest in you with wide-ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow. Our people-first culture is outlined in our Culture Blueprint. Check it out to see why many choose to work at Raymond James – and why they stay.

Provide expert guidance on country-specific rules for international securities business, develop educational materials, and manage relationships with internal partners. | Extensive experience in financial services, strong understanding of international regulations, and ability to interpret complex jurisdictional requirements. | Job Description Summary The VP – International / Cross Border Strategy will act as the senior Subject Matter expert on country-specific rules related to international securities business. The candidate will perform the responsibilities under general direction, with a high level of autonomy, using extensive knowledge and skills obtained through education and experience. The role will require development of in-depth expertise on jurisdictional requirements for introducing and servicing client relationships, providing services and products in selected non-US markets for retail and other financial services businesses. The role will provide guidance and recommendations to business leadership, Raymond James’ financial professionals, other Cross Border team members, and internal stakeholders on country issues and discussions of cross-border strategy. To successfully operate in this role, he/she will liaise with legal experts to obtain internal and external guidance, interpret requirements related to each in-scope jurisdiction, and apply those to all aspects of Raymond James’ business environment. The candidate will maintain oversight over the process of translating complex non-US regulatory information and materials into user-friendly guidelines for front office personnel, making key decisions around risk tolerance and Raymond James’ international business practices, and working with internal partners to ensure published guidelines are consistent with the scope and scale of Raymond James’ international business. This requires building and maintaining strong relationships with all levels of the business, and additionally understanding Raymond James’ international business and offerings to develop pragmatic and effective solutions. Job Description Essential Duties and Responsibilities Maintain superior knowledge of all aspects of the jurisdiction requirements in which Raymond James conducts business outside of the US and serve as expert in how country rules are applied to all aspects of Raymond James Private Client Group business. Maintain knowledge of Raymond James’ businesses and the varying ways that international business is conducted at the firm. Maintain an understanding of the Raymond James’ process for evaluating international business risk and the countries in which it conducts business, and serve as a key contributor to the international business evalution processes. Manage relationships with internal partners in order to serve as a key point of contact with respect to questions of interpretation and application of country rules. Synthesize complex information into user-friendly materials on country-specific issues for country policies and guidelines. Provide Subject Matter expertise for the development of education and communications initiatives. Identify training requirements, organize education and certification initiatives, and liaise with the training team to develop and deliver training modules. Maintain strong relationships with all levels of business to provide day-to-day guidance on complex cross-border issues related to in-scope jurisdictions. Continuously maintain expertise in Raymond James products and services offerings, the impact of country-specific requirements on clients and advisors, to assess cross-border country risks and offer pragmatic solutions. Maintain program to identify, track, and manage international regulatory change, and support implementation and remediation as necessary. Knowledge, Skills, and Abilities Knowledge of Extensive knowledge of all aspects of financial services business, including familiarity with a broad range of products and services, preferably with expertise on servicing international clients. Ability to balance supporting compliance in regulated environment with service-focused mindset. Superior analytical skills and the ability to solve complex problems, analyze large amounts of information, and identify, assess and execute on effective guidance. Superior communication and reasoning skills, both written and verbal, to effectively communicate with senior leadership, peers, and staff in a diverse and complex organization. Strong drive to implement solutions, working with several parties throughout Raymond James. Skill in Addressing complex and overlapping regulations in an understandable manner to various levels of the organization. Understanding of regulatory and operational risk and approaches to mitigate. Understanding and analyzing complex data sets and ability to interpret applicable meaning from same. Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, presentations, and databases. Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies. Detail orientation to ensure the regulatory liability is limited, without impairing workflow. Utilizing business-appropriate phone manners. Ability to Plan and schedule work to meet organizational and regulatory requirements Manage, 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. Balance conflicting resource and priority demands. Gather information, identify linkages and trends, and apply findings to assignments. Handle stressful situations and provide a high level of customer service in a calm and professional manner. 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. Establish and maintain effective working relationships at all levels of the organization. Maintain confidentiality. Stay current in area of responsibility by proactively reviewing internal and external materials Education Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Data Processing Work Experience General Experience - More than 15 years, Manager Experience - 10 to 15 years Certifications Certified Anti-Money Laundering Specialist (ACAMS) - Association of Certified Anti-Money Laundering Specialists (ACAMS) Salary Range $175,000.00-$200,000.00 Travel Less than 25% Workstyle Remote 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. #LI-AT1 Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm. Today, Raymond James has locations and subsidiaries across the United States, Canada, the United Kingdom and Germany, and is listed on the New York Stock Exchange under the symbol RJF. Thanks for your interest in working with Raymond James. While we might not have the perfect role for you today, we'd love to keep in touch. Join our Talent Network to stay up to date on career opportunities that may be a good fit for you. Our business is deeply focused on people and their financial well-being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good aren't mutually exclusive. As an established but ever-evolving company, you can start – or continue – growing your career here. We invest in you with wide-ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow. Our people-first culture is outlined in our Culture Blueprint. Check it out to see why many choose to work at Raymond James – and why they stay.

The CAT/CAIS Reporting Analyst is responsible for producing, validating, and submitting non-financial regulatory reports while collaborating with various business units. This role also involves interpreting new regulations and assisting in the remediation of identified issues. | Candidates should have hands-on experience in regulatory reporting, specifically with CAT and CAIS. A high school diploma is required, along with specific certifications such as SIE and Series 99. | Job Description Summary Job Description Please note: This role is not eligible for Work Visa sponsorship, either currently or in the future. We are seeking a detail-oriented professional with hands-on experience in regulatory reporting, specifically with CAT and CAIS, to support our compliance operations and ensure accurate trade and account data submissions. A fully remote option may be considered for candidates with demonstrated expertise in CAT and CAIS reporting. Typically, this position follows our hybrid-friendly schedule, so you get the best of both worlds – flexibility and collaboration. In office days will be 3 per week averaging 12 days per month in one of the following corporate home office locations: Memphis, TN or Southfield, MI. The Regulatory Operations Analyst (CAT/CAIS Reporting Analyst) plays a key role in supporting the firm’s compliance with non-financial regulatory reporting requirements. Leveraging advanced knowledge and experience, this role is responsible for monitoring the possession and control of client assets, preparing and validating regulatory reports, and ensuring adherence to applicable industry rules and firm policies. This position collaborates closely with management to identify and mitigate financial, reputational, and regulatory risks. The analyst also contributes to the interpretation and implementation of new or evolving regulatory requirements, offering insights and recommending process improvements. Regular interaction with internal stakeholders, including compliance teams and internal auditors, is essential to investigate and resolve observations and ensure the integrity of reporting practices. Licenses/Certifications: SIE required (prior to start), provided that an exemption or grandfathering cannot be applied. Series 99 required, or ability to obtain within 120 days (as required by FINRA). Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination. Responsibilities: Responsible for the production, validation and submission of non-financial regulatory reports (e.g., Consolidated Audit Trail (CAT) Electronic Blue Sheets (EBS), Large Options Position Report (LOPR), etc.) Collaborates with other business units (Brokerage Operations, Trading, Compliance, IT, and Legal) Assists and provides input in the interpretation of new/changing securities rules, regulations, policies or laws; updates processes for compliance to rules and regulations as well as departmental procedures Compiles operational information for internal and external auditors (e.g. FINRA, SEC) with limited oversight Plans and executes remediation efforts for any identified issues with minimal guidance/support from Supervisor/Manager; assists the Manager or Senior Analyst in formalizing milestones needed in order to implement corrective action plans for any identified issues Assists Manager or Senior Analyst in the design, planning, and execution of testing strategies; under direct supervision, may lead the testing efforts of other analysts; communicate any issues to management that require immediate attention in a clear and concise manor; draft recommendations to mitigate risk Participates on projects Performs other duties and responsibilities as assigned Knowledge of: Non-Financial Regulatory reporting requirements Financial market impacts Regulatory terminology, concepts, and guidance Back Office brokerage operations processes and procedures Trading life cycle (Orders, Executions, Allocations) FINRA, SEC and Exchange trading rules, regulations and laws Skill in: Creating procedures and business process workflow documentation Evaluating processes/systems and identifying risks and controls; Recommending appropriate actions/revisions to resolve gaps or mitigate risk Microsoft Office (Excel, Access, PowerPoint) and other software applications Written and Verbal Communication Operating standard office equipment Ability to: Proactively engage, collaborate and influence business partners in the adoption of identified opportunities to create or enhance a process Support efforts in the evaluation or implementation of an existing or new process Interpret financial/brokerage rules, regulations and security laws; ensure all industry rules, regulations, and the practice follows security laws that apply to a process Manage multiple tasks with potential interruptions and changing priorities Quickly understands complex subject matters Demonstrate critical thinking in a constantly changing environment Education High School (HS) (Required) Work Experience General Experience - 7 to 12 months Certifications OS - Operations Professional - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) Travel Less than 25% Workstyle Remote 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. #LI-CA1 Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm. Today, Raymond James has locations and subsidiaries across the United States, Canada, the United Kingdom and Germany, and is listed on the New York Stock Exchange under the symbol RJF. Thanks for your interest in working with Raymond James. While we might not have the perfect role for you today, we'd love to keep in touch. Join our Talent Network to stay up to date on career opportunities that may be a good fit for you. Our business is deeply focused on people and their financial well-being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good aren't mutually exclusive. As an established but ever-evolving company, you can start – or continue – growing your career here. We invest in you with wide-ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow. Our people-first culture is outlined in our Culture Blueprint. Check it out to see why many choose to work at Raymond James – and why they stay.

Lead strategic planning, execution, and continuous improvement of transition operations for onboarding financial advisors, ensuring compliance, team leadership, and technology integration. | 10-15 years managerial experience in financial services with required FINRA certifications (SIE, Series 99), strong leadership, compliance knowledge, and ability to manage complex operational projects. | Job Description Summary This position follows our hybrid-friendly schedule, so you get the best of both worlds – flexibility and collaboration. In office days will be 3 per week averaging 12 days per month in our St. Petersburg, FL Corporate Office. The Vice President of Operations for the Transition Management team plays a critical leadership role in driving the strategic planning, execution, and continuous improvement of operational initiatives that support the seamless onboarding and integration of new financial advisors (and their teams). This role is responsible for overseeing end-to-end transition processes, aligning cross-functional teams, and ensuring a high-quality experience for both advisors and clients. As a key contributor to the department’s overall strategy, the VP of Operations will lead efforts to optimize workflows, implement scalable solutions, and enhance service delivery. This position requires a forward-thinking leader with strong operational expertise, a deep understanding of the financial services landscape, and a passion for delivering excellence in advisor support. Job Description Key Responsibilities: • Strategic Planning & Execution: Collaborate with executive leadership to align transition operations with firm-wide strategic goals. Monitor KPIs and performance metrics to assess transition success and operational effectiveness. Lead cross-functional initiatives to improve advisor onboarding and retention. • Project & Change Management: Manage multiple concurrent transition projects & initiatives, ensuring timely execution and adherence to regulatory requirements. Monitor progress, track milestones, and provide regular updates to senior leadership. • Compliance & Risk Management: Ensure all transition activities comply with FINRA, SEC, and internal regulatory standards. Partner with Legal and Compliance teams to mitigate risk and maintain audit readiness. • Team Leadership & Development: Lead, mentor, and develop a team of managers, transition consultants, project managers, and operations specialists. Foster a culture of accountability, continuous improvement, and client-centric service. Manage staffing, training, and performance evaluations to ensure team excellence. • Technology & Systems Integration: Oversee the implementation and optimization of technology platforms used in advisor transitions. Collaborate with IT and digital teams to enhance automation, data accuracy, and user experience. Evaluate new tools and systems to support operational scalability and innovation. Other Responsibilities • Take overall responsibility for designing, developing, and delivering the organization's operational strategy and outcomes. • Take overall responsibility for setting and approving area budgets that achieve organizational strategy. • Manage and report on business performance; hold direct reports accountable for achievement of business plans, and take corrective action where necessary to ensure the achievement of business objectives, balancing the need to deliver short-term business objectives with the longer-term delivery of stakeholder value. • Lead the development of annual and longer-term business plans for a significant function or small local business, ensuring alignment with strategy; quantify business outcomes, i.e., revenues or other key performance indicators (KPIs) and resource budgets (financial and headcount); and ensure integration of key activities or projects across the organization. • Set and communicate the strategy, along with the broad actions needed to implement it, for achieving the organization's mission, vision, and values within a function; inspire a large or diverse workforce to commit to these tenets and do extraordinary things to achieve the organization's business goals. • Identify and manage stakeholders up to and including top management level, finding out their needs, issues, and concerns and reacting to them by leading and coordinating the development of stakeholder engagement plans to support the communication of business information and decisions. • Develop the strategy for a significant area of responsibility, such as a function, anticipating complex issues, challenges, and opportunities. Ensure the strategy is successfully implemented and meets medium-term business needs. • Represent the organization or institution in a variety of industry, institutional, and/or professional forums, boards, and committees, in order to promote the company or institution brand or efforts. Represent the organization in external relations with investors, clients, industry, partners, the public, and others. Focus is on a specific area of the organization, such as a function or department. May involve preparation of presentations and materials for professional partnering meetings, seminars, and conferences. • Identify the capabilities needed to meet the current and emerging business needs of a significant business area. Evaluate current capabilities, identify gaps, and prioritize development activities. Motivate others to develop their capabilities and fulfill their personal potential. Build capabilities elsewhere in the organization through mentoring and other informal methods. • Define the detailed organization structure for a business area to align with corporate principles, define the relationship between elements of the organization, and define the responsibilities of senior managers, to enable the organization to achieve its business objectives. • Participate in the development of corporate strategy for a small local organization, applying functional expertise to test the viability of the strategy and contributing creative ideas and insights to support the strategy formation process. Skills • Applies expertise to act as the organizational authority on developing appropriate plans or performing necessary actions based on recommendations and requirements. • Uses expertise to act as organizational authority on planning, organizing, prioritizing and overseeing activities to efficiently meet business objectives. • Operates as a recognized expert to shift into and out of a mental mindsets associated with assessing the facts and circumstances of the current situation and/or environment and making the appropriate/innovative adjustments to thinking and work habits to thrive in any scenario. Typically known as a subject matter authority. • Uses expertise to act as organizational authority on strategic planning. • Applies expertise to act as the organizational authority on making sure the organization develops and maintains the culture, values and design it needs to reach its objectives while managing structural change. • Uses expertise to act as the organizational authority on developing, monitoring, interpreting and understanding policies and procedures, while making sure they match organizational strategies and objectives. • Uses expertise to act as organizational authority on developing and implementing policies. • Uses expertise to act as the organizational authority on managing projects and/or programs within desired cost, time and quality parameters. • Acts with expertise as the organization's authority on using clear and effective verbal communications skills to express ideas, request actions and formulate plans or policies. • Acts as the organization's authority and established expert to develop solutions based on an understanding of the business environment and objectives. • Acts as the organizational authority and established expert on costing, budgeting and finance tasks. • Negotiates as the organizational authority and established expert to help the organization by obtaining consensus between two or more internal or external parties who may have different interests. • Uses expertise to acts as the organizational authority on reviewing and creating relevant, lucid and effective reports. • Operates as a recognized expert to orient work in a workflow to plan, organize, and execute the steps it takes to achieve a goal to achieve higher efficiencies. Typically known as a subject matter authority. Licenses/Certifications • SIE required or ability to obtain within 120 days (as required by FINRA), provided that an exemption or grandfathering cannot be applied. • Series 99 required, or ability to obtain within 120 days (as required by FINRA). Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination. • Series 7 - Not required, but highly preferred. Education High School (HS) (Required) Work Experience Manager Experience - 10 to 15 years Certifications OS - Operations Professional - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) 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.

Lead and manage risk and control consulting activities, develop risk profiles, oversee regulatory change management, and provide solutions to complex risk issues while engaging with senior management. | Bachelor’s degree with 6+ years related experience, strong risk management knowledge, leadership skills, and ability to influence senior leadership in a hybrid work environment. | Job Description Summary Under general direction, uses extensive knowledge and skills obtained through education and experience to translate business strategy into comprehensive risk program and developing risk profiles in a variety of functional areas. Leads large or multiple projects with significant scope and impact. Provides comprehensive solutions to escalated complex problems. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with some latitude for unreviewed actions or decisions. Recommends process improvements for departmental and business unit processes and procedures to improve internal controls and mitigation strategies. Results are evaluated at agreed upon milestones for effectiveness in achieving specified results. Moderate contact with executive management and is required to lead others in identifying, researching, analyzing and resolving complex issues. Job Description Job Summary: Under general direction, uses extensive knowledge and skills obtained through education and experience to translate business strategy into comprehensive risk program and developing risk profiles in a variety of functional areas. Leads large or multiple projects with significant scope and impact. Provides comprehensive solutions to escalated complex problems. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with some latitude for unreviewed actions or decisions. Recommends process improvements for departmental and business unit processes and procedures to improve internal controls and mitigation strategies. Results are evaluated at agreed upon milestones for effectiveness in achieving specified results. Moderate contact with executive management and is required to lead others in identifying, researching, analyzing and resolving complex issues. Responsibilities Essential Duties and Responsibilities • Assists in the development and execution of risk and control consulting activities for assigned area of responsibility in accordance with internal standards, relevant government statutes and regulations. • Oversees or leads engagements from planning through reporting and produces quality deliverables in accordance with both department and professional standards. • Manage risk issue management program. Conduct risk impact analysis for all office services related issues and develop reporting for senior management. • Responsible for regulatory change management oversight, including assessment of risk for new and ongoing regulatory implementation projects. • Leads manager on projects involving functional business areas including AML, Model Risk Management, Compliance, IT/Information Security, Supplier Risk, and Business Continuity as assigned. • Builds and maintains key relationships with stakeholders while establishing a culture of engagement and assistance. • Assists in the development and execution of risk and control consulting activities in accordance with internal standards, relevant government statutes and regulations. • Facilitates the identification of risks for assigned area and uses judgement in providing opinion on the business unit's risk level and general adherence to risk programs. • Executes an effective program of continuous monitoring for assigned areas, including monitoring of key metrics to identify control issues and adverse trends. • Uses excellent communication skills in order to influence a wide range of internal audiences including respective product, function, or executive management partners. • Analyzes complex problems, researches and organizes solutions and effectively presents recommendations to Sr. Management. • Works with business process owners and internal/external auditors to evaluate control deficiencies, and develop risk-based solutions to address concerns. • Uses judgment to provide an overall opinion on the business unit’s control environment and communicates findings to management. Identifies opportunities for improvement in the design and effectiveness of key controls and mitigation strategies. • Executes an effective program of continuous monitoring for assigned areas, including monitoring of key metrics to identify control issues and adverse trends. • Possesses strong project management and interpersonal skills, makes sound decisions, exhibiting initiative and intuitive thinking. Consulted often by others for advice and opinions and recognized as a leadership role model. • Participates in major business initiatives and pro-actively advises and assists the business on change initiatives. • Leads risk response coordination during crisis events (e.g., hurricanes, power outages), ensuring timely communication, operational continuity, and alignment with business resilience protocols. • Performs other duties and responsibilities as assigned. Knowledge of • In-depth understanding of risk management practices and methodologies, including risk assessment and a solid understanding of internal control and mitigation strategy concepts. • Expertise in issue management, including trend and risk analysis of issues impacting business units. • Specific subject matter expertise in Supplier Risk Management, and/or Business Continuity Planning. • A solid business understanding of Raymond James products and services. • Principles of banking and finance industry operations. • Financial markets and products. Skill in • Managing employees indirectly through risk management engagements. • Demonstrated ability and success in interacting with and influencing senior leadership, including executive management. • Experience in managing against deadlines associated with a risk management engagement. • Strong analytical skills particularly with regard to assessing the probability and impact of a control weakness. • Excellent verbal and written communication skills, with the ability to present complex and sensitive issues to management in a persuasive manner. • Enthusiastic, self-motivated, effective under pressure and willing to take personal risk and accountability. • Proven ability to multitask as well as assess and change priorities. • Ability to work well individually, and in teams, share information, support colleagues and encourage participation. Ability to • Perform human resource management activities. • Plan, assign, monitor, review, evaluate and lead the work of others. • Coach and mentor others. • Identify training needs and develop subordinates. • Balance conflicting resource and priority demands. • Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed. • Incorporate needs, wants and goals from different business unit perspectives into risk management engagements and recommendations. • Attend to detail while maintaining a big picture orientation. • Gather information, identify linkages and trends and apply findings to assignments. • Communicate effectively, both orally and in writing. • Read, interpret and apply information from business periodicals and professional journals. • Lead others in providing a high level of customer service. • Establish and maintain effective working relationships at all levels of the organization. Educational/Previous Experience Requirements • Bachelor’s Degree and a minimum of six (6) years of experience in a related field. • OR ~ • Any equivalent combination of experience, education, and/or training approved by Human Resources. Education Bachelor’s Work Experience Manager Experience - 3 to 6 years Certifications 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.

Lead onboarding and integration of financial advisors, manage a diverse team, oversee service operations, develop business plans, and ensure compliance with policies and regulations. | 3-6 years management experience, Bachelor's degree in related field, required FINRA certifications (SIE and Series 99) or ability to obtain within 120 days, strong leadership and communication skills, and hybrid work availability. | Job Description Summary This position follows our hybrid-friendly schedule, so you get the best of both worlds – flexibility and collaboration. In office days will be 3 per week averaging 12 days per month in our St. Petersburg, FL Corporate Office. The Manager of New Advisor Transitions Management is a strategic leadership role responsible for overseeing the successful onboarding and integration of financial advisors into the firm. This position leads a high-performing team, manages complex transition projects, and ensures a seamless experience for advisors joining the organization. With many years of management experience and a proven ability to lead large teams, the Manager excels in relationship management, deadline-driven execution, and cross-functional collaboration. The ideal candidate is a seasoned professional with deep industry knowledge, exceptional communication skills, and a passion for delivering outstanding service. Responsibilities Job Description • Oversee an operational area with guidance from senior colleagues. Could involve responsibility for development or delivery (or both). • Contribute to the development of annual and longer-term business plans; forecast performance against business key performance indicators (KPIs); develop business cases for key activities/projects; and estimate the financial and human resources required to deliver performance targets. • Communicate the actions needed to implement the function's strategy and business plan within the team; explain the relationship to the broader organization's mission, vision, and values; motivate people to commit to these and to do extraordinary things to achieve local business goals. • Manage and report on the performance of a substantial, diverse team; set appropriate performance objectives for direct reports or project/account team members and hold individuals accountable for achieving them; take appropriate corrective action where necessary to ensure the achievement of team/personal objectives. • Manage day-to-day service operations, developing and/or delivering a plan and outcomes for a service operations area with guidance from senior colleagues. • Develop medium- or long-term work schedules that enable the organization to achieve its business goals. Involves coordinating across multiple teams. • Identify shortcomings in existing business practices, then suggest and implement improvements while developing and delivering projects or a work stream within the organization's change management program. Involves working with guidance from senior colleagues. • Develop procedures and interpret and apply policy for area of expertise to achieve specified outputs, or advise the wider business on application of policy, then monitor implementation of those procedures within the organization. • Recommend changes to policies, processes, standards, and practices that would improve operational support. • Develop and/or deliver a plan for significant aspects of internal communications with guidance from senior colleagues. • Develop and/or deliver a contingency plan for significant aspects of the risk management and/or risk control processes. • Develop and/or deliver budget plans with guidance from senior colleagues. • Use the organization's formal development framework to identify the team's individual development needs. Plan and implement actions, including continuing professional development specified by professional or regulatory institutions, to build their professional capabilities. Provide informal training or coaching to others throughout the organization in own area of expertise to enable others to improve performance and fulfill personal potential. • Monitor and review performance and behaviors within area of responsibility to identify and resolve noncompliance with the organization's policies and relevant regulatory codes and codes of conduct. Skills • Uses comprehensive knowledge and skills to work independently while providing guidance and training to others on planning, organizing, prioritizing and overseeing activities to efficiently meet business objectives. • Uses comprehensive knowledge and skills to work independently while providing guidance and training to others on developing appropriate plans or performing necessary actions based on recommendations and requirements. • Uses comprehensive knowledge and skills to work independently while providing guidance and training to others on developing, monitoring, interpreting and understanding policies and procedures, while making sure they match organizational strategies and objectives. • Works independently and provides guidance and training to others while interpreting and applying comprehensive knowledge of laws, regulations and policies in area of expertise. • Applies comprehensive knowledge to act independently while providing guidance and training to others on using clear and effective verbal communications skills to express ideas, request actions and formulate plans or policies. • Works independently and provides guidance and training to others on analyzing data trends for use in reports to help guide decision making. • Applies comprehensive knowledge and skills to work independently while providing guidance and training to others on reviewing and creating relevant, lucid and effective reports. • Uses comprehensive knowledge and/or skills to act independently while providing guidance and training to others on identifying, assessing, prioritizing and managing risks. • Uses expertise to serve as the organizational authority on meeting high customer service standards. • Works at an advanced level to shift into and out of a mental mindsets associated with assessing the facts and circumstances of the current situation and/or environment and making the appropriate/innovative adjustments to thinking and work habits to thrive in any scenario. Typically works independently and provides guidance. • Applies comprehensive knowledge and skills to independently manage and apply safe systems of work while providing guidance and training to others. • Uses comprehensive knowledge and skills to negotiate independently while providing guidance and training to others on how to help the organization by obtaining consensus between two or more internal or external parties who may have different interests. • Uses comprehensive knowledge and skills to work independently while guiding and training others on managing projects and/or programs within desired cost, time and quality parameters. • Applies comprehensive knowledge and/or skills to independently engage in strategic planning. • Works at an advanced level to orient work in a workflow to plan, organize, and execute the steps it takes to achieve a goal to achieve higher efficiencies. Typically works independently and provides guidance. Licenses/Certifications • SIE required or ability to obtain within 120 days (as required by FINRA), provided that an exemption or grandfathering cannot be applied. • Series 99 required, or ability to obtain within 120 days (as required by FINRA). Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination. Education Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Finance, High School (HS) (Required) Work Experience Manager Experience - 3 to 6 years Certifications s99 - Operations Professional Examination - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) 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.

The Experience Analyst supports strategic, operational, and experience-focused initiatives across the Investment Bank. Key responsibilities include analyzing business processes, supporting technology enablement, and driving process improvement initiatives. | Candidates should have a Bachelor’s Degree in Finance, Accounting, Business, or a related field, along with 2 to 3 years of professional experience in relevant areas. Proficiency in data visualization tools and strong analytical skills are preferred. | Job Description Summary The Experience Analyst leverages background and business acumen to support strategic, operational, and experience-focused initiatives across the Investment Bank. This role operates as a part of an internal consulting team, collaborating with business leaders and internal partners (including HR, Technology, Marketing, and Operations) to identify opportunities, drive execution, and enable sustainable change. The analyst role will support employee and client experience strategies that improve efficiency, streamline operations, and enhance engagement. Key responsibilities include analyzing business processes, supporting technology enablement and AI adoption efforts, managing reporting and dashboards, developing leadership materials, and driving process improvement initiatives. The analyst also plays a key role in change management – helping teams adopt new tools, processes, and ways of working to ensure long-term impact. This is a project-based role suited for individuals with experience in consulting, investment banking, business analysis, or technology strategy. Job Description Essential Duties and Responsibilities: Support the execution of cross-functional initiatives to enhance client and employee experience, including those related to operations, technology, and digital enablement. Develop and iterate strategic presentations and executive-level materials that communicate findings, progress, and recommendations. Conduct qualitative and quantitative analysis and reporting to identify improvement opportunities and support strategic decisions. Collaborate with Investment Banking senior management and functional leaders across HR, Technology, Marking, and Operations to deliver business solutions Coordinate problem-solving efforts with cross-disciplinary teams to address organizational inefficiencies and implement scalable solutions Build and maintain partnerships within and across business functions to assess existing practices, identify opportunities and develop plans to enhance and maintain exceptional employee and client experience. Participate in business process improvement initiatives, including those involving automation or digital tooling. Support AI and technology-related efforts, including evaluation, adoption, and integration of tools that enable employee productivity and client engagement. Perform other duties and responsibilities as assigned and needed. Knowledge of Concepts, principles, and practices of Investment Banking & Capital Markets. Financial markets and products preferred. Technology and AI tools Problem-solving and operational improvement frameworks and change management techniques Skill in Analytical and data-driven abilities. Proficiency in data visualization or reporting tools (e.g., Tableau, Power BI, Excel, SQL, Qlik) preferred. Organizing problems and workflows. Attention to detail in all areas of work products. Problem solving skills and the ability to think independently. Deliver high standards of quality and evaluate products, services, and own performance against those standards. Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, and spreadsheets. Strong communication skills and ability to work well within a team. Ability to Structure and communicate complex ideas, both orally and in writing, to senior stakeholders. Balance conflicting resource and priority demands. Collaborate across functional areas in a fast-paced, matrixed organization. Establish and maintain effective working relationships at all levels of the organization. Organize and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment with frequent interruptions. Interpret and apply policies and identify and recommend changes as appropriate. Work independently as well as collaboratively within a team environment. Identify required tasks, develop timelines and execute. Project a positive, professional image both internal and with external business contacts. Convey information clearly and effectively through both formal and informal documents. Education/Previous Experience Bachelor’s Degree (B.A.) in Finance, Accounting, Business or a related field Two (2) to three (3) years of professional experience in management or technology consulting, investment banking, corporate strategy, or a technology-driven business role. Experience in internal consulting, business transformation, or cross-functional project environments preferred. OR ~ Any equivalent combination of experience, education, and/or training approved by Human Resources. Travel Required: Yes, up to 15 % of the time. Travel may include periodic trips for team offsites or cross-functional collaboration efforts. Education Bachelor’s: Accounting (Required), Bachelor’s: Business Administration (Required), Bachelor’s: Finance (Required) Work Experience General Experience - 13 months to 3 years Certifications Travel Less than 25% Workstyle Remote 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. Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm. Today, Raymond James has locations and subsidiaries across the United States, Canada, the United Kingdom and Germany, and is listed on the New York Stock Exchange under the symbol RJF. Thanks for your interest in working with Raymond James. While we might not have the perfect role for you today, we'd love to keep in touch. Join our Talent Network to stay up to date on career opportunities that may be a good fit for you. Our business is deeply focused on people and their financial well-being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good aren't mutually exclusive. As an established but ever-evolving company, you can start – or continue – growing your career here. We invest in you with wide-ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow. Our people-first culture is outlined in our Culture Blueprint. Check it out to see why many choose to work at Raymond James – and why they stay.

Manage and oversee compliance and risk-related training programs, coordinate training needs assessments, coach compliance associates, and ensure regulatory adherence. | Bachelor’s degree with 8+ years in compliance or financial services preferred, advanced knowledge of securities/banking compliance, project management skills, and ability to lead training initiatives. | Job Description Summary Under intermittent supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to administer and manage compliance and risk-related training and education programs. Leads major projects, programs, or processes with significant business impact. Influences strategic direction, develops tactical plans, and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalated problems or needs. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze, and resolve complex issues. Job Description Essential Duties and Responsibilities Oversees compliance and risk-related training and education processes in collaboration with internal stakeholders. Coordinates annual training needs assessment processes with key stakeholders. May coach, train, and mentor others Compliance associates. May coordinate with stakeholders to develop and implement continuing education and training programs in conjunction with management. Schedules and oversees compliance processes including scheduling, training, and review of compliance reporting. Establishes objectives and develops processes and procedures to ensure adherence to all regulatory requirements. Monitors reporting. Partners with business units to recommend policy and process changes to Senior Management. Ensures effective coordination occurs within assigned work group and with other work groups. Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems. Serves as a resource on compliance issues to clients and staff. May serve as a compliance liaison on various committees and projects representing the interest of the department. Researches regulatory updates to identify linkages and trends and apply findings. Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems. Performs periodic reporting on compliance and operational issues as required. Assists in preparing the operational budgets for assigned functional area. Balances conflicting resource and priority demands. Performs other duties and responsibilities as assigned. Knowledge, Skills, and Abilities Advanced knowledge of: Compliance and risk training for the securities industry and/or banking compliance. Concepts, practices, and procedures of securities industry and/or banking compliance. Rules and regulations of: Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; 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; state banking regulatory agencies. Investment concepts, practices and procedures used in the securities industry. Principles of banking and finance and securities industry operations. Financial markets and products. Advanced skills in: Project management. Planning and scheduling work to meet regulatory organizational and regulatory requirements. 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 business units and 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, orally and in 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.) and a minimum of eight (8) years of experience in Compliance and/or the financial services industry preferred. ~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. . Education Work Experience Certifications Salary Range $100,000.00-$120,000.00 Travel Less than 25% Workstyle Remote 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. #LI-AF1 Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm. Today, Raymond James has locations and subsidiaries across the United States, Canada, the United Kingdom and Germany, and is listed on the New York Stock Exchange under the symbol RJF. Thanks for your interest in working with Raymond James. While we might not have the perfect role for you today, we'd love to keep in touch. Join our Talent Network to stay up to date on career opportunities that may be a good fit for you. Our business is deeply focused on people and their financial well-being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good aren't mutually exclusive. As an established but ever-evolving company, you can start – or continue – growing your career here. We invest in you with wide-ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow. Our people-first culture is outlined in our Culture Blueprint. Check it out to see why many choose to work at Raymond James – and why they stay.

Lead and manage fair lending compliance reviews, support HMDA compliance, provide guidance on regulatory requirements, and participate in compliance committees and training. | Bachelor’s degree with 8+ years in compliance or financial services, advanced knowledge of fair lending regulations, and experience with regulatory exams and compliance monitoring. | Job Description Summary Under intermittent supervision with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training, and/or certification in financial services or banking industry compliance to administer and manage an assigned compliance function. Leads major projects, programs, or processes with significant business impact. Influences strategic direction, develops tactical plans, and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalated problems or needs. Job Description Essential Duties and Responsibilities • Performs RJ Bank fair lending compliance reviews and analyzes the fair lending risk within various business units. • Performs periodic compliance monitoring and prepares reports summarizing the Bank's fair lending activity. • Supports the comparative file/matched pair analyses for Residential, Consumer, and Small Business lending portfolios. • Supports the Home Mortgage Disclosure Act (HMDA) compliance program by reviewing reportable transactions, compiling data, and performing validity and quality edit reviews. • Provides advice and guidance to the Bank's First Line of Defense concerning HMDA data collection and Fair Lending-related topics. • Completes and maintains the Bank’s fair lending risk assessments. • Participates in the Bank’s Complaint program oversight and management. • May coach, train, and mentor other Compliance associates. • May assist with developing and implementing continuing education and training programs for the department in conjunction with management. • Establishes objectives and develops processes and procedures to ensure adherence to all regulatory requirements. • Partners with business units to recommend policy and process changes to Senior Management. • Ensures effective coordination occurs within assigned work groups and with other work groups. • Serves as a resource on compliance issues to clients and staff. • May serve as a compliance liaison on various committees and projects representing the department's interests. • Serves as a member of the relevant fair and responsible banking committees and/ or working groups as needed. • Research regulatory updates to identify linkages and trends and apply findings. • Performs periodic reporting on compliance and operational issues as required. • Assists in preparing the operational budgets for assigned functional areas. • Balances conflicting resource and priority demands. • Performs other duties and responsibilities as assigned. Knowledge, Skills, and Abilities Advanced Knowledge of: • Fair lending-related regulations (i.e., HMDA, ECOA, FHA, CRA, UDAAP) with a minimum of three years of experience • Familiarity with Bank complaint processes and exceptional customer service skills • Concepts, practices, and procedures of banking compliance and knowledge of the securities industry a plus • Rules and regulations of: Federal Reserve System; Consumer Financial Protection Bureau (CFPB); Federal Deposit Insurance Corporation (FDIC); Federal Financial Institutions Examination Council (FFIEC); Office of the Comptroller of the Currency (OCC); state banking regulatory agencies. • Investment concepts, practices, and procedures used in the banking and financial services industry. • Principles of banking and finance industry operations. • Regulatory exams, inquiries, and internal reviews. Advanced skill in: • Performing fair lending comparative file reviews for underwriting and pricing. • Financial data analysis model development, model review, and validation. • HMDA data integrity file review experience. • Identifying loan origination systems controls and data is preferred. • Operating standard office equipment and using required software applications. • Planning and scheduling work to meet regulatory, organizational, and regulatory requirements. • Identifying and applying appropriate compliance monitoring procedures and tests. • Responding to regulatory inquiries and examination preparation tasks Preparing oral and/or written reports. • Investigating compliance issues and irregularities. • Making rule-based and analytical decisions. • Strong verbal and written communication. Ability to: • Coach and mentor others. • Partner with other functional areas to accomplish objectives. • Facilitate meetings, ensuring all viewpoints, ideas, and problems are addressed. • Attend to detail while maintaining a big-picture orientation. • Work concurrently under pressure on multiple tasks and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities. • Use appropriate interpersonal styles and effectively communicate with all organizational levels, both orally and in writing. • 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 areas. • 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.) and a minimum of eight (8) years of experience in Compliance and/or the financial services industry preferred. ~or~ Any equivalent combination of experience, education, and/or training approved by Human Resources. Licenses/Certifications None Required. CRCM Certification Preferred Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred. Education Work Experience Certifications Salary Range $100,000.00-$120,000.00 Travel Less than 25% Workstyle Remote 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. #LI-AF1 Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm. Today, Raymond James has locations and subsidiaries across the United States, Canada, the United Kingdom and Germany, and is listed on the New York Stock Exchange under the symbol RJF. Thanks for your interest in working with Raymond James. While we might not have the perfect role for you today, we'd love to keep in touch. Join our Talent Network to stay up to date on career opportunities that may be a good fit for you. Our business is deeply focused on people and their financial well-being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good aren't mutually exclusive. As an established but ever-evolving company, you can start – or continue – growing your career here. We invest in you with wide-ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow. Our people-first culture is outlined in our Culture Blueprint. Check it out to see why many choose to work at Raymond James – and why they stay.