Senior Advisor, Compliance Training and Education

Job Description Summary

Under general supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in adult learning and education design and development, as well as securities and/or banking industry to ensure compliance alignment with all securities and/or banking rules and regulations. Designs and develops engaging compliance training courses that meet regulatory compliance objectives and inspire associates to adhere to policies. Coordinates compliance functions, guides compliance efforts, and acts as a liaison between functional areas. Leads large or multiple projects with significant scope and impact. Works independently on difficult assignments that are broad in nature and that require originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Provides comprehensive learning solutions to complex problems. Maintains extensive contact with internal customers to identify, research, analyze, and resolve complex issues.

Job Description

Essential Duties and Responsibilities

• Consults stakeholders and collaborates to develop compliance training and education programs in conjunction with other compliance activities.

• Applies best practices in learner experience research to develop instructional strategies and curate training and education content to build effective compliance training.

• Conducts needs and performance analysis to identify learning gaps and recommends effective learning strategies and solutions.

• Creates digital learning assets and eLearning courses using authoring tools (Storyline, Rise, Captivate, Creative Cloud, etc.)

• Incorporates emerging compliance risks and regulatory trends into the curriculum.

• Directs adjustments to existing training and education programs, policies, and procedures, as required to improve learning outcomes and make annual or regulatory change updates.

• Leverage learning evaluation and measurement tools to assess training effectiveness and recommend improvements based on performance data.

• Performs Learning Management System (LMS) administrative tasks including partnering with LMS team to upload, test, and publish courses, generate completion reports, request assignments and troubleshoot user issues.

• Ensures that compliance training and education activities are commensurate with the level of risk being mitigated.

• Provides escalated support and guidance to compliance training efforts in assigned business entities. 

Assists Management to implement adequate controls and quality assurance processes to detect and address potential compliance problems related to the enterprise Compliance training and education program

• Research, interpret, and translate regulatory rules and regulations for Senior Management and inclusion in training and education programs.

• Leads end-to-end training projects within Compliance including creating project plans, conducting needs analysis and developing training assets in partnership with key stakeholders and SMEs.

• Advises Senior Compliance Management on issues that involve possible rule violations and potential liability.

• Addresses sensitive compliance issues with Management in assigned functional area.

• Reviews documentation related to compliance issues for validity and alignment with organizational policies, and understanding as you incorporate into compliance training and education programs.

• Prepares and delivers written and oral presentations to Management.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

• Adult learning theory, eLearning design best practices, traditional and modern learning design and development techniques

• Understanding and working knowledge of learning sciences and instructional design models include ADDIE, SAM, Agile and Universal Design for Learning (UDL)

• Training measurement and evaluation best practices including Kirkpatrick evaluation model or other evaluation frameworks

• Designing accessible content including but not limited to WCAG / Section 508 accessibility requirements

• Concepts, practices, and procedures of securities industry and/or banking compliance reviews and industry operations.

• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Federal Reserve System; and state banking regulatory agencies.

• Fundamental investment concepts, practices, and procedures used in the securities industry, banking, or related finance spaces.

• Digital course authoring tools including but not limited to Articulate Storyline, Rise, Captivate, and Powtoon

• Project management essential concepts including familiarity with project management tools (Smartsheet, Asana, Jira, etc.)

Skill in:

• Translating needs analysis data into engaging, effective, and efficient training that manages risk and drives results.

• Consulting, designing, developing, and overseeing compliance training and education programs.

• Excellent interpersonal and written skills, and the ability to interact effectively with all levels of the organization.

• Learning design and development including instructional design methodologies, curriculum design, scenario-based learning, and editing and content simplification

• Authoring tools for eLearning including Articulate Storyline, Rise, Captivate, etc.

• Project management including timeline creation and risk mitigation

• Integrating and aligning compliance processes and procedures with business processes.

• Providing support and guidance for compliance efforts. 

• Identifying and implementing controls and quality assurance processes. 

• Reviewing materials for compliance with rules and regulations.

• Gathering information and preparing oral and written reports and presentations.

• Making rule-based and analytical decisions.

• Operating standard office equipment and using required software applications.

Ability to:

• 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.

• Gather information, identify linkages and trends, and apply findings to assignments.

• Interpret and apply securities and/or banking regulations and identify and recommend impactful training designs.  

• Translate complex content into clear, engaging learning experiences

• Recommend improvements to training content and programs based on learner performance or behavioral data

• 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 three (3) 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

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 sameWork with and through others to achieve desired outcomes

 Make prompt, pragmatic choices and act with the client in mindTake 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