Job Description

Job Summary

Under administrative supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience to manage and oversee the operation of all IT compliance functions. The position will report directly to the head of Information Compliance Risk Management (ICRM), Chief Privacy Officer and IT Chief Compliance Officer. Primary responsibilities are focused on the continued management of the global IT Compliance program – setting program strategy and execution, in concert with the IT CCO function – working closely with the firm’s CCO’s teams and IT leaders both domestically and regionally. Leads major projects, programs or processes with significant business impact involving cross-functional teams. Works with members of the Compliance, Legal and business leadership teams to develop tactical plans for compliance initiatives. Completes complex assignments with substantial latitude for autonomous actions or decisions. Provides comprehensive solutions to complex problems or needs. End results are evaluated for achieving goals and objectives. Maintains extensive contact with various business units and departments of Raymond James Financial and its subsidiaries to perform the functions of this job.

Essential Duties and Responsibilities

• Manages department, associates, budget, reporting structure, and division of responsibilities within Compliance department.

• Manages firm wide IT compliance program – with focus on regulatory change, risk assessment, testing and monitoring and oversight of regional IT compliance programs.

• Identifies and manages regulatory risks associated with IT division and services provided to the organization.

• Uses data and performance indicators to establish control mechanisms and other improvement initiatives, and ensures quality standards are consistently attained or exceeded.

• Leads and manages all aspects of large, complex projects through their entire project lifecycle (initiation, planning, execution, closure).

• Develops and sponsors tactics to achieve strategic objectives across functional groups or within a business group.

• Establishes objectives and develops processes and procedures to ensure efficient and timely workflow.

• Serves as a member of the leadership team in developing short- and long-term goals and initiatives to achieve strategic vision for the IT Compliance department.

• Represents Compliance on major firm level projects and/or initiatives.

• Performs human resource management activities, including identifying performance problems and approving recommendations for remedial action; evaluating performance; and interviewing and selecting staff. 

• Plans, assigns, monitors, reviews, evaluates, and leads the work of subordinate supervisors.

• Coaches and mentors subordinates, identifies training needs and recommends appropriate development programs.

• Develops systems and procedures to minimize the firm’s IT Compliance exposure while balancing business concerns. 

• Maintains the required compliance systems for the firm while fostering a positive relationship with department employees and management.

• Responds to and oversees responses to IT compliance incidents, regulatory inquiries and reporting

• Manages compliance exams of the firm by various regulatory bodies.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced knowledge of:

• IT Compliance controls for broker dealer and banking industry

• Compliance program management

• Compliance and legal procedures in the financial services industry.

• Concepts, practices, and procedures of the financial services industry.

• Retail and clearing firm operations.

Advanced skill in:

• Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.

• Organizational and time management skills sufficient to handle multiple priorities in a fast paced and ever-changing environment.

• Project management skills and experience sufficient to successfully complete long and short-term projects.

• Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Ability to:

• Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates.

• Plan, assign, monitor, review, evaluate and lead the work of others, coach, and mentor others.

• Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

• Partner with other functional areas to accomplish objectives.

• Organize, prioritize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.

• 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.

Education

Bachelor’s

Work Experience

Manager Experience - 10 to 15 years

Certifications

Other Certification Not Listed - Other

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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