Compliance Senior Manager, Reporting and Strategy

Under general supervision, uses extensive knowledge and skills obtained through experience, specialized training and/or certification to support executive reporting, strategy and planning for Raymond James’ Compliance department and other internal partners as applicable. Support the Compliance organization and its leadership through executive reporting and communications, coordination of high-impact initiatives, and support for Compliance strategic planning and execution. The role leads preparation and coordination of materials for key Board and executive governance forums, works across Compliance to facilitate alignment and execution of leadership priorities, and provides thoughtful analysis and recommendations to support decision-making. The position requires strong judgment, communication, collaboration, and the ability to influence outcomes across functions without direct authority.

Responsibilities

Lead the coordination and development of materials supporting the Chief Compliance Officer’s participation in Board and executive governance forums; Partner with the VP responsible for Compliance strategy to support development, communication, and execution of Compliance priorities; Identify themes, dependencies, and opportunities for alignment across Compliance initiatives; Build effective relationships across Compliance and other functions to coordinate complex initiatives; Manage and create quarterly governance reports for Compliance leadership; Develop in-depth, executive-level talking points and support materials for Compliance leadership’s quarterly governance meetings; Collaborate with cross-functional teams to gather, validate and analyze Compliance data; Develop and maintain reporting templates and tools; Monitor reporting timelines and ensure all deliverables meet internal deadlines and quality standards; Identify opportunities for process improvements and automation within the reporting function; Support ad hoc reporting requests and special projects; Routinely interact with senior leaders within Compliance, Risk, AML and across the firm; May represent the Compliance department on cross-functional projects; Prepare and deliver written and oral presentations to management and other stakeholders; Perform other duties and responsibilities as assigned

Requirements

Advanced knowledge of effective reporting and communicating complex information; Advanced knowledge of concepts, practices, and procedures of securities industry and/or banking compliance; Advanced knowledge of rules and regulations of SEC, FINRA, and state securities regulatory agencies; Advanced skill in gathering, streamlining and communicating complex information; Advanced skill in creating reports, presentations and talking points for senior leaders; Advanced skill in writing, editing and proofreading; Advanced skill in making rule-based, analytical and strategic decisions; Advanced skill in providing support and guidance for compliance efforts; Advanced skill in reviewing materials for compliance with rules and regulations; Advanced skill in researching compliance issues; Advanced skill in Microsoft PowerPoint, Word, Excel and SharePoint; Ability to see projects through from conception to successful execution; Ability to absorb unfamiliar topics quickly and translate into executive-ready materials; Ability to attend to detail while maintaining a big picture orientation; Ability to partner with other functional areas to accomplish objectives; Ability to use appropriate interpersonal styles and communicate effectively, orally and in writing, with all organizational levels; Ability to facilitate meetings; Ability to prioritize tasks and pivot quickly when necessary; Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment; Ability to work independently as well as collaboratively within a team environment; Ability to seek and implement constructive feedback; Ability to troubleshoot problems and proactively suggest solutions; Ability to provide a high level of customer service; Ability to establish and maintain effective working relationships at all levels of the organization; Ability to maintain currency in laws, rules and regulations related to compliance; Ability to quantitatively and/or qualitatively process data; Ability to maintain confidentiality

Nice to have

Bachelor’s degree (B.A./B.S.) and minimum eight (8) years of experience in Compliance and/or the financial services industry preferred; Any equivalent combination of experience, education, and/or training approved by Human Resources; Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred

Benefits

Medical, dental, and vision; Life insurance; Critical illness insurance and accident insurance; Disability benefits; Retirement savings; Paid time off (vacation, holidays, and sick leave); Parental leave