Job Description Summary

Under intermittent supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in the securities or banking industry compliance to support the Information Technology Compliance program of Raymond James Financial. The Sr. Manager, IT Compliance is responsible for implementing and executing the strategy, governance processes, an overall IT Compliance program to comply with applicable laws. This role is organized under the Information Compliance Risk Management group and will help support the overall departmental goals and objectives.

Job Description

Essential Duties and Responsibilities

• Helps drive Compliance strategic direction toward Information Technology, Information Security, Data governance, protection, and management.

• Perform risk assessments and monitoring activities to assess the design, completeness, and effectiveness of regulatory obligations.

• Implement formal testing protocols for key risks and controls.

• Monitor regulatory developments and assess applicability to IT and maintain a centralized inventory of regulatory obligations and dependencies.

• Develop, maintain, and enforce IT compliance policies and standards and ensure alignment with enterprise governance structures.

• Maintain policy mappings to regulatory obligations and control frameworks such as NIST, CRI, and FFIEC.

• Promote a culture of compliance through ongoing education and conduct process-specific training for escalated items.

• Report metrics to regional and enterprise committees for visibility and strategic decision-making.

• Prepare for and respond to regulatory exams and inquiries and coordinate with internal audit and external regulators.

• Coordinate with business lines and risk stakeholders to ensure consistent oversight of regulatory obligations.

• Provide strategic guidance to IT teams for implementing regulatory changes and mitigating emerging risks.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced knowledge of:

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

• Rules and regulations of: Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; state banking regulatory agencies.

• Deep understanding of global and domestic regulations governing data privacy, financial services, and IT governance.

• Knowledge of Enterprise Data Management and Data Loss Prevention (DLP) technologies

• Principles of banking and finance and securities industry operations.

Advanced skill in:

• Experience with metrics reporting, scorecards, and dashboards to monitor compliance effectiveness.

• 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.

Ability to:

• Design and execute second-line oversight testing programs for IT controls.

• 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

• 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.

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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