Job Description Summary

Under administrative supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance to support the design, implementation and supervision of a comprehensive compliance and surveillance program. Leads major projects, programs, or processes with significant business impact. Supervises others to perform difficult assignments that are broad in nature. Influences strategic direction and develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Maintains extensive contact with customers and regulatory agencies to identify, research, analyze and resolve complex issues.

Job Description

Essential Duties and Responsibilities

• Leads the development and execution of enterprise-wide risk assessments focused on prioritized risk topics, identifying emerging risks and recommending mitigation strategies aligned with business objectives.

• Synthesizes complex data from surveillance, compliance, and operational sources to produce actionable insights that inform risk mitigation and strategic decision-making.

• Collaborates cross-functionally with business units, compliance, legal, and operations to ensure risk assessment findings are integrated into business processes and controls.

• Designs and maintains a risk taxonomy and risk register to ensure consistent identification, classification, and tracking of firm-wide risks.

• Develops and presents risk trend analyses and dashboards to senior leadership, highlighting key risk indicators (KRIs), root causes, and potential impact to the firm.

• Monitors internal and external risk environments, including regulatory developments, industry trends, and competitor actions, to proactively adjust risk strategies.

• Oversees the documentation and communication of risk mitigation plans, ensuring accountability and timely execution across impacted departments.

• Partners with internal audit, testing, oversight and monitoring and compliance teams to align risk assessments with audit findings and regulatory expectations.

• Evaluates the effectiveness of existing risk controls and recommends enhancements to improve resilience and reduce exposure.

• Champions the use of advanced analytics, automation, and technology to enhance risk detection and reporting capabilities.

• Performs human resource management activities including identifying performance problems, approving recommendations for remedial action, evaluating performance, and interviewing and selecting staff.

• Plans, assigns, monitors, reviews, evaluates, and leads the work of others.

• Develops and maintains compliance programs, systems, policies, and procedures to ensure compliance with federal, state, and self-regulatory regulations. Minimizes the firm’s risk exposure while balancing business concerns.

• Coordinates the preparation and submission of regulatory filings and maintains required compliance documents.

• Coaches and mentors subordinates, identifies training needs and recommends appropriate development programs.

• Maintains the required compliance systems for the firm while fostering positive business relationships with department associates and branch associates/affiliates.

• Serves as the primary liaison between the organization and industry regulators by responding to inquiries, audits, complaints, and investigations.

• May serve as a liaison between the organization and industry committees such as SIA, FSI, and the FINRA.

• Reviews compliance and risk management controls and recommends appropriate changes, as required.

• Serves as a subject matter expert on compliance issues by maintaining proficient knowledge of applicable compliance statutory regulations and interpretations.

• Continually evaluates the department structure and strategic plan, considering future growth. Promotes overall efficiency while maintaining a commitment to compliance standards and excellent service.

• Ensures processes and procedures support efficient and timely workflow.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced knowledge of:

• Risk assessment frameworks and methodologies (e.g., COSO ERM, ISO 31000) used to evaluate and mitigate operational, regulatory, and reputational risks.

• Quantitative and qualitative risk analysis techniques, including root cause analysis, scenario modeling, and trend forecasting.

• Data analytics tools and platforms (e.g., SQL, Qlik Sense, SmartSheet) for synthesizing surveillance data and identifying risk patterns.

• Key risk indicators (KRIs), risk appetite statements, and risk tolerance thresholds used in financial services firms.

• Regulatory expectations related to risk governance and oversight (e.g., FINRA Rule 3110, SEC Risk Alerts, Reg BI, DOL fiduciary standards).

• Internal control design and testing strategies, including integration with compliance monitoring and audit functions.

• Risk reporting and escalation protocols for senior leadership and governance committees.

• Emerging risks in the financial services industry, including conduct risk, third-party dependencies, regulatory change, reputational exposure, and evolving environmental, social, and governance (ESG) considerations, with a focus on proactive identification and mitigation strategies.

• Cross-functional collaboration strategies to embed risk mitigation into business operations and strategic planning.

• Surveillance and exception reporting systems used to detect anomalies and potential misconduct.

• Change management and business continuity planning as they relate to risk mitigation and resilience.

• Knowledge of investment and compliance concepts, practices, and procedures used in the securities industry.

• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.

Advanced skill in:

• Administering regulatory notifications, filings, and documentation with precision and timeliness.

• Planning, prioritizing, and coordinating work to meet organizational goals and evolving regulatory requirements.

• Investigating compliance issues, anomalies, and irregularities using structured methodologies and sound judgment.

• Applying rule-based and analytical decision-making to assess risk and ensure regulatory alignment.

• Designing and executing effective compliance monitoring procedures, controls, and testing strategies.

• Communicating complex information clearly and professionally across diverse internal and external audiences.

• Preparing high-quality written and verbal reports, presentations, and executive summaries.

• Leading and managing projects of varying scope and duration, ensuring timely delivery and stakeholder alignment.

• Utilizing office productivity tools and analytics platforms to produce reports, dashboards, and data-driven insights.

Ability to:

• Work under pressure on multiple tasks concurrently, manage delegated responsibilities, and meet deadlines in a fast-paced environment with frequent interruptions and shifting priorities.

• Maintain attention to detail while applying a strategic, big-picture perspective to risk and compliance initiatives.

• Communicate effectively and professionally, both orally and in writing, across all organizational levels to drive alignment and accomplish objectives.

• Establish and communicate clear directions, priorities, and expectations to teams and stakeholders.

• Gather, analyze, and synthesize data to identify linkages, trends, and emerging risks, and apply findings to operational and strategic decision-making.

• Maintain up-to-date knowledge of laws, rules, and regulations relevant to compliance and risk management in assigned functional areas.

• Plan, assign, monitor, review, and lead the work of others, while coaching and mentoring team members to build analytical and compliance capabilities.

• Manage associates across various functions and levels, including technical, professional, and supervisory roles.

• Work independently and collaboratively to resolve complex problems and implement risk mitigation strategies.

• Translate risk assessment findings into actionable recommendations and influence business units to adopt appropriate controls.

• Facilitate cross-functional collaboration to embed risk awareness and mitigation into business processes.

• Present risk trends, assessments, and mitigation strategies to senior leadership and governance committees in a clear and compelling manner.

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

Salary Range

$130,000.00-$150,000.00

Travel

Less than 25%

Workstyle

Remote

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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