Compliance Sr. Manager, Enterprise Policy Governance

Under intermittent supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience to build, analyze, and continuously improve the enterprise policy governance program across Raymond James. Leads major projects, programs, or processes with significant business impact. Influences strategic direction, develops tactical plans and completes complex assignments with 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.

Responsibilities

Partners with policy owners in creating and updating enterprise policies to ensure alignment with regulatory obligations; Facilitates the enterprise policy review and drafting process; Facilitates vetting discussions with key senior stakeholders; Facilitates review and approval of enterprise policies at the Enterprise Risk Management Committee and, when required, the RJF Board of Directors or a subcommittee; Publishes policies, noting key substantive changes to all associates, including international subsidiaries; Collaborates with stakeholders to create and update policies resulting from firm-wide policy governance gap analysis and needs assessment; Plays a role in compliance reporting processes, including exception reporting, and approves corrective actions; Works with the Compliance Training team to ensure enterprise policy requirements are accurately communicated in Compliance Trainings; May coach, train, and mentor other Compliance associates; Establishes objectives and develops processes and procedures to ensure adherence to regulatory requirements; Monitors and reviews reporting, audits, and compliance correspondence; Partners with business units to recommend policy and process changes to Senior Management; Identifies, recommends, and works with other areas to automate and streamline compliance systems; Serves as a resource on compliance issues to clients and staff; May serve as a compliance liaison on committees and projects; Researches regulatory updates to identify linkages and trends and applies findings; Performs other duties as assigned

Requirements

Bachelor's Degree (B.A./B.S.) in a related discipline and a minimum of eight (8) years of experience in Compliance and/or the financial services industry; or any equivalent combination of experience, education, and/or training approved by Human Resources; Advanced knowledge of policy governance strategy, implementation, and oversight of a firm-wide program; Advanced knowledge of project management and business process methodologies, tools, and practices; Advanced knowledge of strategic planning processes and methodologies; Advanced knowledge of compliance obligations, industry rules and regulations, and legal general procedures in the financial services industry; Advanced knowledge of concepts, practices, and procedures of the financial services industry; Advanced knowledge of bank holding company and retail broker dealer clearing firm operations; Skill in drafting documents, including reviewing and editing; Skill in drafting policies; Excellent written and verbal communication skills to address a wide and varied audience, including executive management; Organizational and time management skills to handle multiple priorities in a fast-paced environment; Project management skills and experience to complete long and short-term projects; Skill in operating standard office equipment and required software applications; Ability to partner with other functional areas; Ability to organize, prioritize, manage, and track multiple detailed tasks with frequently changing priorities and deadlines; Ability to communicate effectively with all organizational levels; Ability to work independently and collaboratively; Ability to attend to detail while maintaining a big-picture orientation

Nice to have

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

Benefits

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); parental leave