Job Description Summary

Under administrative supervision, uses extensive knowledge and skills obtained through education and experience to build, analyze, and continuously improve the Enterprise Compliance Training & Education (ECT) program. Creates, directs and manages the overall strategy and ongoing execution of compliance-based learning and development processes as applicable. Leads projects, programs & processes with significant cross-functional business impact. Provides comprehensive solutions and escalates problems (when appropriate). Extensive contact with senior management is required to identify and resolve complex issues. Provide comprehensive solutions to challenges and changing regulatory requirements. Consults and collaborates with senior leaders on compliance learning topics and best practices for implementation and successful completions. Incorporates adult learning industry best practices into consultations with stakeholders across the enterprise on short and long-term learning strategies that mitigate risk and build compliance capabilities. Leads and inspires a team to develop engaging compliance learning experiences that equip associates with the knowledge and tools needed to uphold market integrity, safeguard clients, and advance their professional growth.

Job Description

Essential Duties and Responsibilities

• Build and drive the Enterprise Compliance Training Program. Develop a strategy to incorporate emerging compliance risks and regulatory trends into the training curriculum and make recommendations on the most effective way to deliver training to compliance, business, and other key audiences. Training topics may be generated by the annual Compliance Risk Assessment, regulatory change management, identified compliance risk issues, complaints, and testing results.

• Collaborate with team leads on the execution of the training needs assessment and ensure the outcomes are fully integrated into compliance training solutions without exceeding the defined scope.

• Collaborate on the development of the training plan and the governance of the plan’s execution.

• Oversee and manages the overall governance and standards for the continuing education program, as well as compliance training governed by regulations and obligations.

• Manage compliance training metrics and reporting to measure the effectiveness of compliance training and success of completion rates for mandatory training.

• Lead and manage all aspects of large, complex projects through their entire project lifecycle (initiation, planning, execution, closure).

• Serves as a member of the Enterprise Compliance Training & Education leadership team in developing short- and long-term goals and initiatives to achieve strategic vision for Compliance, Risk Management, Anti-Money Laundering & Financial Crimes Management, and Supervision training programs.

Knowledge, Skills, and Abilities

Advanced Knowledge of:

• Adult learning theory, eLearning design best practices, and learning methods and techniques.

• Training measurement and evaluation practices, such as Kirkpatrick model, Brinkerhoff’s Success Case Method, and Training ROI evaluation.

• Concepts, practices, and procedures of securities industry compliance.

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

Advanced Skill in:

• Designing and developing eLearning solutions

• Planning and scheduling work to meet regulatory organizational and regulatory requirements.

• Making rule-based and analytical decisions.

• Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.

• Preparing oral and/or written reports.

• Project management skills and experience sufficient to successfully complete long and short-term projects.

• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Ability to:

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

• Attend to detail while maintaining a big picture orientation.

• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.

• Establish and communicate clear directions and priorities.

• Gather information, identify linkages and trends, and apply findings to operations.

• Maintain currency in laws, rules and regulations related to compliance in assigned functional area (s).

• Plan, assign, monitor, review, evaluate and lead the work of others, coach, and mentor others.

• Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates.

• Work independently as well as collaboratively within a team environment to resolve problem.

Educational/Previous Experience Requirements

• Bachelor’s Degree (B.A./B.S.). 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.

• Experience with Firm systems, data transformation and control development lifecycle.

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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