Director, Compliance IT

Job Description Summary

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. This role is responsible for implementing and executing the ICRM strategy, governance processes, and overall ICRM program to comply with applicable laws. This role is organized under the Information Compliance Risk Management group as part of the Global Data Privacy and Protection Office and will help support the overall departmental goals and objectives.

Job Description

Essential Duties and Responsibilities

• Oversees the Technology Compliance Program and Governance Framework.

• Drives the ongoing development of applicable methodology(s) used across the Information Technology Compliance program to ensure global consistency and scalability.

• Advises senior leadership on emerging technology compliance risks and regulatory expectations.

• Conducts compliance risk assessments across technology, cybersecurity, data privacy, AI, cloud, and third-party risk domains.

• Develops and ensures appropriate execution of IT compliance monitoring and testing activities.

• Leads regulatory change management and evaluate the impact of new regulatory requirements.

• Partners closely with Information Technology, Information Security, Privacy, Legal, Enterprise Risk, Internal Audit, and business leadership to ensure regulatory compliance while maintaining independent oversight of first line activities.

• 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.

Educational/Previous Experience Requirements

• Bachelor’s Degree (B.A./B.S.) in a related discipline required with a Master’s degree preferred.  Minimum of ten (10) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry.

• Minimum five (5) years management experience within the financial services industry.

~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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