IT Compliance Senior Manager

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. Travel: less than 25%. Workstyle: Hybrid.

Responsibilities

Execute regulatory assessments, both annual and targeted; Execute ongoing monitoring of IT issue progress and changes, escalating as needed; Participate in annual review of IT policies and standards and recommend required changes to Senior Management; Serve as a resource on compliance issues to clients and staff; Serve as a compliance liaison on various committees and projects representing the interests of the department; Research regulatory updates to identify impacts and develop and deliver communication plans to impacted teams; Identify process improvement opportunities to streamline IT Compliance functions; Establish objectives and develop processes for ongoing monitoring of IT exceptions and potential impacts on regulatory compliance; Perform periodic reporting on compliance issues; Lead the ongoing development of IT Compliance metrics and reporting; Perform other duties and responsibilities as assigned

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; Advanced knowledge of concepts, practices, and procedures of securities industry and banking compliance; Advanced knowledge of Information Technology and Information Security controls and regulations; Advanced knowledge of rules and regulations of the OCC, SEC, FINRA, and state securities regulatory agencies; Advanced knowledge of Section 404 of the Sarbanes-Oxley Act of 2002; Advanced knowledge of retail and clearing firm operations, financial markets and products, and investment concepts used in the securities industry; Advanced skill in planning and scheduling work to meet regulatory and organizational requirements; Advanced skill in investigating compliance issues and irregularities; Advanced skill in rule-based and analytical decision-making; Advanced skill in identifying and applying compliance monitoring procedures and tests; Advanced written and verbal communication skills; Advanced skill in preparing oral and/or written reports; Project management skills and experience; Ability to work under pressure on multiple concurrent tasks and meet deadlines; Ability to maintain attention to detail with a big-picture orientation; Ability to facilitate meetings; Ability to maintain confidentiality

Nice to have

Additional licenses/certifications demonstrating knowledge/expertise in industry regulation and concepts

Benefits

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