Job Description Summary

Under intermittent supervision and with a high level of autonomy, supports the Information Compliance Risk Management (ICRM) program through the effective management and use of the OneTrust platform (and other compliance-related solutions as needed). This individual will possess a detail-oriented and collaborative approach, since this role will serve as a key liaison amongst compliance stakeholders, they will help ensure that platform capabilities align with regulatory requirements and internal compliance objectives. This may include a focus on supporting compliance-driven initiatives, managing platform access, coordinating change requests, and / or organizing workstreams around key project implementations.

Job Description

Essential Duties and Responsibilities

• Platform Management: Provide support related to configuration, access, and change requests for the OneTrust platform and other compliance-related tools, ensuring alignment with regulatory requirements and internal compliance standards.

• Compliance Initiative Support: Assist in the execution of compliance-driven initiatives by translating program needs into platform capabilities and supporting related workstreams.

• Project Coordination: Organize and manage work efforts around key project implementations, collaborating with cross-functional teams to ensure timely and effective delivery.

• Stakeholder Collaboration: Act as a liaison for compliance stakeholders, facilitating clear communication, issue resolution, and ongoing platform support.

• May coach, train, and mentor others Compliance associates.

• Balances conflicting resource and priority demands.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced knowledge of:

• Regulatory & Compliance Knowledge

  • Concepts, practices, and procedures of securities industry and/or banking compliance.

  • Strong understanding of data privacy and compliance frameworks (e.g., GDPR, HIPAA, SOX, CCPA).

  • Familiarity with risk management principles and internal control frameworks.

• Platform & Technical Skills

  • Hands-on experience with OneTrust or similar GRC platforms (e.g., Archer, ServiceNow GRC).

  • Ability to manage platform access, workflows, and change requests in a structured, compliant manner.

• Project & Process Management

  • Skilled in organizing and coordinating cross-functional workstreams and compliance-driven initiatives.

  • Proficient in documenting requirements, tracking progress, and managing timelines.

• Communication & Collaboration

  • Strong interpersonal skills to effectively liaise amongst compliance stakeholders.

  • Ability to translate complex compliance requirements into actionable platform solutions.

Advanced skill in:

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

• Identifying and applying appropriate compliance monitoring procedures and tests.

• Preparing oral and/or written reports.

• Investigating compliances issues and irregularities.

• Making rule-based and analytical decisions.

• Strong verbal and written communication.

• Operating standard office equipment and using required software applications.

Ability to:

• Coach and mentor others.

• Partner with other functional areas to accomplish objectives.

• Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.

• Attend to detail while maintaining a big picture orientation.

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

• Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.

• Work independently as well as collaboratively within a team environment.

• Establish and maintain effective working relationships at all levels of the organization.

• Maintain confidentiality.

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

• Interpret and apply policies and identify and recommend changes as appropriate.

• Quantitatively and/or qualitatively process data.

• Formulate and implement department strategies consistent with long-term company goals.

• Promote team cohesiveness, cooperation, and effectiveness.

Educational/Previous Experience Requirements

• Bachelor’s degree (B.A. /B.S.) and a minimum of eight (8) 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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