IT Compliance Senior Manager

Job Description Summary

Under intermittent supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through experience, specialized training and/or certification in information technology, data governance, securities and/or banking industry to support the Information Compliance Risk Management (ICRM) Information Technology Compliance program of Raymond James Financial. Leads major projects, programs, or processes with significant business impact. Influences strategic direction, develops tactical plans, and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalated problems or needs. Maintains extensive contact with internal customers and regulatory agencies to
identify, research, analyze, and resolve complex issues.

Job Description

Essential Duties and Responsibilities

• Executes regulatory assessments both annual and targeted.

• Executes ongoing monitoring of IT issue progress and changes, escalates as needed.

• Participate in annual review of IT policies and standards and recommend required changes to Senior Management.

• Serves as a resource on compliance issues to clients and staff.

• May serve as a compliance liaison on various committees and projects representing the interest of the department.

• Research regulatory updates to identify impacts, develop and deliver appropriate communication plans to impacted teams.

• Aids in the ongoing identification of process improvement opportunities to streamline IT Compliance functions to deliver process efficiencies.

• Establish objectives and develop processes for ongoing monitoring of IT exceptions and potential impacts on regulatory compliance.

• Performs periodic reporting on compliance issues as required.

• Lead the ongoing development of IT Compliance metrics and reporting.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills and Abilities

Advanced knowledge of:

• Concepts, practices, and procedures of securities industry and banking compliance.

• Information Technology and Information Security controls and regulations

• Rules and regulations of the Office of the Comptroller of the Currency (OCC), Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.

• Section 404 of the Sarbanes-Oxley Act of 2002.

• Retail and clearing firm operations.

• Financial markets and products.

• Investment concepts, practices and procedures used in the securities industry.

Advanced skill in:

• Planning and scheduling work to meet regulatory organizational and regulatory requirements.

• Investigating compliances issues and irregularities.

• Making rule-based and analytical decisions.

• Identifying and applying appropriate compliance monitoring procedures and tests.

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

• Preparing oral and/or written reports.

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

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

Ability to:

• 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.

• Maintain attention to detail while also maintaining a big picture orientation.

• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.

• Establish and communicate clear directions and priorities.

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

• Maintain currency in laws, rules and regulations related to compliance in assigned functional area (s).

• Work independently as well as collaboratively within a team environment to resolve problems.

• Partner with other functional areas to accomplish objectives.

• Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.

• Maintain confidentiality.

Educational/Previous Experience Requirements

• Bachelor’s degree (B.A. /B.S.) and a minimum of eight (8) 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

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. 

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