Advisor, Anti Bribery & Anti Corruption Compliance

Compliance Advisor

Under general supervision, uses specialized knowledge and skills obtained through experience, specialized training and/or certification in securities and/or banking industry compliance to gather information, analyze operational risk performance, identify possible risks and make recommendations for operational improvements. May be responsible for coordinating compliance functions, developing training programs and ability to liaison between functional areas. May lead projects of moderate scope and complexity. Serves as a Technical Advisor to teams. Some guidance is provided to perform varied work that is somewhat difficult in nature and that requires evaluation, originality, and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. Maintains extensive contact with internal customers to identify, research, and resolve problems.

Essential Duties and Responsibilities

• Conduct due diligence to identify bribery and corruption risk on vendors, prospective employees, charitable contributions, third-party relationships and other relevant business activities.
• Advise on Anti-Bribery and Anti-Corruption matters, including interpretation of policies, application of controls, and evaluation of heightened-risk scenarios.
• Assist in the development of compliance trainings.
• Support Anti-Bribery and Anti-Corruption risk assessments.
• Support drafting of policies, standards, and procedures to help manage and mitigate anti-bribery and anti-corruption risk.
• Prepare and enhance metrics and reporting for senior management and other audiences.
• Support a culture of risk management and compliance throughout all levels within the firm.
• Research Anti-Bribery and Anti-Corruption related issues.
• Monitor Anti-Bribery and Anti-Corruption-related regulatory developments, enforcement actions, and emerging risks.
• Perform other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

• Knowledge of the U.S. Foreign Corrupt Practices Act, the U.K. Bribery Act or similar laws and regulations.
• The key components of anti-bribery and anti-corruption policies, standards, and procedures.
• Concepts, practices, and procedures of securities industry and/or banking compliance reviews.
• Fundamental Investment concepts, practices, and procedures used in the securities industry.
• Financial markets and products.

Skill in:

• Determining and analyzing trends from data that is collected to assist in compiling reports that will help in decision-making.
• Identifying, assessing, prioritizing and managing risks.
• Reviewing and evaluating recommendations and requirements and developing appropriate plans or deliver actions required.
• Monitoring compliance programs.
• Integrating and aligning compliance processes and procedures with business processes.
• Coordinating complex compliance activities.
• Providing support and guidance for compliance efforts.
• Identifying and implementing controls and quality assurance processes.
• Reviewing materials for compliance with rules and regulations.
• Researching compliance issues.
• Developing compliance training programs.
• Gathering information and preparing oral and written reports.
• Preparing and delivers written and oral presentations.
• Investigating compliance irregularities.
• Making rule-based and analytical decisions.
• Operating standard office equipment and using required software applications.

Ability to:

• Attend to detail while maintaining a big picture orientation.
• Gather information, identify linkages and trends, and apply findings to assignments.
• Interpret and apply securities and/or banking regulations and identify and recommend compliance changes as appropriate.
• Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
• Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.
• Work independently as well as collaboratively within a team environment.
• Provide a high level of customer service.
• Establish and maintain effective working relationships at all levels of the organization.
• Maintain confidentiality.
• Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance.

Educational/Previous Experience Requirements

• Bachelor's degree (B.A./B.S.) and a minimum of two (2) years of experience in Compliance and/or the financial services industry.
• Or any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

• None Required.
• Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.

Travel

Less than 25%

Workstyle

Hybrid

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. We expect our associates at all levels to: Grow professionally and inspire others to do the same; Work with and through others to achieve desired outcomes; Make prompt, pragmatic choices and act with the client in mind; Take ownership and hold themselves and others accountable for delivering results that matter; Contribute to the continuous evolution of the firm.

At Raymond James as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.