Compliance Admin Assistant – Regulatory focus

About the Company

Raymond James Financial is a leading diversified financial services company providing private client group, capital markets, asset management, and banking services to individuals, corporations, and municipalities. Headquartered in St. Petersburg, Florida, we are committed to client-first service, independence, and integrity. Our culture fosters an environment where innovation thrives, and employees are empowered to make a meaningful impact.

Job Description

Raymond James Financial is seeking a highly organized and detail-oriented Compliance Admin Assistant with a strong regulatory focus to join our dynamic compliance department in Wesley Chapel, FL. This essential role supports our team in ensuring adherence to industry regulations and internal policies by managing critical administrative tasks, maintaining accurate records, and assisting with various compliance-related projects. The ideal candidate will possess exceptional organizational skills, a keen eye for detail, and a proactive approach to supporting complex operations within a fast-paced financial services environment. This position offers a unique opportunity to grow your expertise in the compliance field and contribute significantly to our mission of upholding the highest standards of integrity and regulatory excellence.

Key Responsibilities

• Prepare, review, and maintain comprehensive compliance-related documentation, reports, and presentations.
• Assist with the research, interpretation, and application of regulatory requirements and internal company policies.
• Coordinate and schedule compliance team meetings, training sessions, and facilitate internal/external audits.
• Manage and track communication logs, compliance inquiries, and follow-up actions to ensure timely resolution.
• Support the preparation and submission of various regulatory filings and required documentation.
• Organize and maintain both electronic and physical filing systems for sensitive and confidential compliance records.
• Facilitate the communication and dissemination of internal policy updates to relevant stakeholders across the organization.
• Provide general administrative support to the compliance team, including calendar management and expense reporting.

Required Skills

• Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint, Outlook).
• Exceptional organizational, time management, and multitasking skills.
• Strong attention to detail and a high degree of accuracy in all tasks.
• Excellent written and verbal communication abilities.
• Proven ability to handle confidential and sensitive information with discretion and integrity.
• Basic understanding of administrative processes and office management procedures.

Preferred Qualifications

• Minimum of one year of administrative experience, preferably in a regulated industry (e.g., financial services, legal, healthcare).
• Familiarity with compliance terminology, regulatory frameworks (e.g., FINRA, SEC), or legal processes.
• Associate's degree in Business Administration, Finance, Legal Studies, or a related field.

Perks & Benefits

• Comprehensive health, dental, and vision insurance plans.
• 401(k) retirement plan with competitive company matching contributions.
• Generous paid time off, including vacation, sick leave, and company holidays.
• Tuition reimbursement program for continued education and professional development.
• Employee assistance program offering counseling and support services.
• On-site fitness center and various wellness programs to promote employee health.
• Opportunities for career advancement and internal mobility within a large financial institution.

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