Director, Compliance IT

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.

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 evaluates 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

Requirements

Bachelor’s Degree (B.A./B.S.) in a related discipline; 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; 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 OCC, SEC, FINRA, and state securities regulatory agencies; Advanced knowledge of Section 404 of the Sarbanes-Oxley Act; Advanced knowledge of retail and clearing firm operations; Advanced knowledge of financial markets and products; Advanced knowledge of investment concepts, practices and procedures used in the securities industry; Advanced skill in planning and scheduling work to meet regulatory organizational and regulatory requirements; Advanced skill in investigating compliance issues and irregularities; Advanced skill in making rule-based and analytical decisions; Advanced skill in identifying and applying appropriate compliance monitoring procedures and tests; Advanced written and verbal communication skills; Advanced skill in preparing oral and/or written reports; Project management skills; Ability to work under pressure on multiple tasks concurrently; Ability to maintain attention to detail while maintaining big picture orientation; Ability to communicate effectively with all organizational levels; Ability to establish and communicate clear directions and priorities; Ability to gather information, identify linkages and trends, and apply findings to operations; Ability to maintain currency in laws, rules and regulations related to compliance; Ability to work independently as well as collaboratively within a team environment

Nice to have

Master’s degree preferred; Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred

Benefits

Medical; Dental; Vision; Life insurance; Critical illness insurance; Accident insurance; Disability benefits; Retirement savings; Paid time off (including vacation, holidays, and sick leave); Parental leave; Additional compensation (cash or equity); Discretionary bonuses; Commissions