Senior Manager, SEC Reporting

Job Description

Responsibilities:

• Take responsibility for providing specific elements of the regulatory affairs service with guidance from senior colleagues.
• Help design and implement a compliance program, liaising with the regulator to ensure the program adheres to regulatory and compliance standards. This may also involve supervising the activities of a regulatory/compliance team.
• Develop internal communications plans and work collaboratively with other departments to improve internal relationships and to build strong understanding of regulation and registration requirements.
• Write and edit material for various target populations, tailoring the tone and content to match the needs and expectations of each audience.
• Use data from a wide range of sources to analyze key themes and identify possible impacts on the business.
• Provide specialist advice on the interpretation and application of policies and procedures, resolving complex or contentious queries and issues and enabling others to take appropriate actions.
• Act as subject matter expert in an area of technology, policy, regulation, or operational management for the team. Maintain external accreditations and in-depth understanding of current and emerging external regulation and industry best practices through continuing professional development, attending conferences, and reading specialist media.
• 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 developing appropriate plans or performing necessary actions based on recommendations and requirements.
• Works independently and provides guidance and training to others while interpreting and applying comprehensive knowledge of laws, regulations and policies in area of expertise.
• Uses comprehensive knowledge and skills to act independently while guiding and training others on achieving full compliance with applicable rules and regulations in management and/or operations.
• Works independently and provides guidance and training to others on analyzing data trends for use in reports to help guide decision making.
• 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 guiding and training others on managing projects and/or programs within desired cost, time and quality parameters.
• Uses comprehensive knowledge and skills to act independently while guiding and training others on how to professionally interpret and apply knowledge of laws and regulations.

Education

Bachelor’s: Accounting (Required), Bachelor’s: Business Administration, Bachelor’s: Finance

Work Experience

General Experience - 6 to 10 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. 

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