Job Information
Raymond James Financial, Inc. Information Compliance Risk Management Director in Saint Petersburg, Florida
Job Description
Job Summary
Under administrative supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance to design, implement and supervise a comprehensive compliance and surveillance program. Leads major projects, programs, or processes with significant business impact. Influences strategic direction and develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Maintains extensive contact with customers and regulatory to identify, research, analyze and resolve complex issues.
Essential Duties and Responsibilities
Develops and maintains compliance programs, systems, policies, and procedures to ensure compliance with federal, state, and self-regulatory regulations. Minimizes the firm’s risk exposure while balancing business concerns.
Conducts periodic risk assessments to identify and evaluate compliance risks, helping the business set priorities and ensure adherence to applicable laws and regulations.
Serves as expert on compliance issues by maintaining proficient knowledge of applicable compliance statutory regulations and interpretations.
Ensures that compliance policies are effectively communicated across all levels of the organization and that employees receive adequate training to adhere to them.
May serve as a liaison between the organization and industry regulators by responding to inquiries, audits, complaints, and investigations.
May serve as a liaison between the organization and industry committees such as SIA, FSI, and the FINRA.
Establishes consistent measurement and reporting of compliance risks across the organization, providing a consolidated view of compliance risks.
Fosters a shared culture of ethical conduct that goes beyond legal requirements and embraces broader standards of ethics and integrity.
Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities
Advanced Knowledge of:
Concepts, practices, and procedures of securities industry compliance.
Rules and regulations of the Securities Exchange Commission (SEC); Federal Reserve Board (FRB), Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.
Retail and clearing firm operations.
Technology risk management frameworks
Technology program governance and risk management
Data privacy and protection rules
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 application 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.
Attend to detail while 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 problem.
Education
Bachelor’s, Master's
Work Experience
General Experience – 10 to 15 years
Certifications
Other License 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.
#LI-AF1