Job Description Summary

Under intermittent supervision, this role is instrumental in safeguarding the organization’s integrity by ensuring that first-line controls are effectively designed and operating in alignment with regulatory expectations. This role is responsible for leading second-line testing activities, supporting the annual compliance testing plan, and contributing to strategic initiatives such as internal validation, continuous monitoring, and GRC platform integrations. The ideal candidate will demonstrate strong regulatory knowledge, investigative acumen, and the ability to translate complex requirements into practical, actionable testing strategies. This position is essential to maintaining a resilient control environment while driving continuous improvement across compliance functions.

Job Description

Essential Duties and Responsibilities

• Leads and executes compliance testing to assess the design and effectiveness of controls related to Privacy, Records Governance, and IT compliance programs.

• Researches, interprets, and applies regulatory requirements to test objectives and business processes.

• Develops and maintains testing documentation, including planning, fieldwork, reporting, and remediation tracking.

• Identifies control gaps and recommends enhancements to policies, procedures, and systems in collaboration with SMEs.

• Validates remediation efforts and ensure timely closure of compliance issues.

• Ensures testing deliverables meet Quality Assurance standards and align with the Compliance Testing Methodology.

• Manages multiple testing engagements and acts as a liaison between business units and Compliance Risk Management.

• Collaborates cross-functionally with Legal, Risk, IT, and other departments to strengthen internal controls.

• Supports automation initiatives to improve testing efficiency and control coverage.

• Contributes to updates of the annual and quarterly ICRMA testing plan based on regulatory and business changes.

• Prepares and delivers clear, concise reports and presentations to senior leadership.

• Stays current on regulatory trends, industry best practices, and emerging risks.

Knowledge, Skills, and Abilities

Required Skills and Qualifications:

• Proven expertise in compliance testing, regulatory research, and control evaluation.

• Strong analytical, investigative, and problem-solving skills.

• Excellent written and verbal communication skills, with the ability to influence and collaborate across all levels.

• Proficiency in Microsoft Office Suite and GRC platforms (e.g., OneTrust, ServiceNow).

• Ability to manage multiple priorities in a fast-paced, evolving environment.

• Familiarity with regulatory frameworks such as GDPR, CCPA/CPRA, ISO, NIST, and sector-specific regulations (e.g., SEC, FINRA, OCC).

• Understanding of KRIs, KPIs, and the distinctions between policies, standards, procedures, and guidelines.

Educational/Previous Experience Requirements

• Bachelor’s degree (B.A. /B.S.) and a minimum of six (6) 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.

Licenses/Certifications

• None Required.

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Education

Work Experience

Certifications

Travel

Less than 25%

Workstyle

Hybrid

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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