Raymond James
Overview
Under administrative supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to support the firms data privacy risk management. This role is responsible for collaborating with peers and senior leaders in support of the firms compliance programs for managing the privacy regulatory control framework and facilitating core compliance pillar activities to identify, assess, mitigate and monitor data privacy risks. This includes but is not limited to serving as a privacy advisor to business teams, coordinating compliance functions, acting as a liaison between functional areas and leading large or multiple projects with significant scope and impact. Responsibilities Support the Chief Privacy Officer (CPO) to define and achieve the strategic vision for the corporate Privacy Program. Maintain industry knowledge of global privacy laws, company guidelines and policies, and industry best practices. Serve as a cross-organizational team lead on privacy reviews and assessments. Serve as a cross-organizational team lead on privacy-related projects and initiatives with business and technology partners to translate privacy requirements into business requirements, conduct oversight, and provide subject matter expertise. Serve as a subject matter expert on privacy to all departments. Respond to and assist with privacy-related inquiries. Develop and administer policies and procedures for identifying, reporting, and resolving privacy risks. Develop, administer and maintain privacy policies, standards and procedures. Develop and maintain the privacy regulatory control framework. Develop and provide appropriate guidance, education, training and communication to all relevant stakeholders. Review and assess privacy-related risk with business partners to identify and address privacy-related compliance gaps or areas of privacy risk in support of business requirements. Recommend process improvements for risk management processes and procedures. Document and maintain a record of identified metrics to track privacy program effectiveness. Respond to regulatory agencies, as applicable. Mentor associates with less experience. Perform other duties and responsibilities as assigned. CIPP/US or equivalent data privacy subject matter certification preferred. Familiarity with Privacy/GRC tools such as OneTrust and IBM Open Pages recommended.
Knowledge, Skills, and Abilities Advanced Knowledge of
Concepts, practices, and procedures of securities industry and/or banking compliance. Rules and regulations of SEC; FINRA; state securities regulatory agencies; FDIC; OCC; FFIEC; OTS; Federal Reserve System; state banking regulatory agencies. Investment concepts, practices and procedures used in the securities industry. Principles of banking and finance and securities industry operations. Financial markets and products.
Advanced Skill In
Administering regulatory notification and filings. 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 compliance 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 in 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.
Education and Experience
Bachelors Degree (B.A./B.S.) in a related discipline required with a Masters 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. Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications
None Required. Additional licenses/certifications demonstrating the candidates knowledge/expertise in industry regulation and concepts preferred.
Travel : Less than 25% Workstyle : Hybrid 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
The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. Seniority level
Seniority level : Director Employment type
Employment type : Full-time Job function
Job function : Legal #J-18808-Ljbffr
Under administrative supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to support the firms data privacy risk management. This role is responsible for collaborating with peers and senior leaders in support of the firms compliance programs for managing the privacy regulatory control framework and facilitating core compliance pillar activities to identify, assess, mitigate and monitor data privacy risks. This includes but is not limited to serving as a privacy advisor to business teams, coordinating compliance functions, acting as a liaison between functional areas and leading large or multiple projects with significant scope and impact. Responsibilities Support the Chief Privacy Officer (CPO) to define and achieve the strategic vision for the corporate Privacy Program. Maintain industry knowledge of global privacy laws, company guidelines and policies, and industry best practices. Serve as a cross-organizational team lead on privacy reviews and assessments. Serve as a cross-organizational team lead on privacy-related projects and initiatives with business and technology partners to translate privacy requirements into business requirements, conduct oversight, and provide subject matter expertise. Serve as a subject matter expert on privacy to all departments. Respond to and assist with privacy-related inquiries. Develop and administer policies and procedures for identifying, reporting, and resolving privacy risks. Develop, administer and maintain privacy policies, standards and procedures. Develop and maintain the privacy regulatory control framework. Develop and provide appropriate guidance, education, training and communication to all relevant stakeholders. Review and assess privacy-related risk with business partners to identify and address privacy-related compliance gaps or areas of privacy risk in support of business requirements. Recommend process improvements for risk management processes and procedures. Document and maintain a record of identified metrics to track privacy program effectiveness. Respond to regulatory agencies, as applicable. Mentor associates with less experience. Perform other duties and responsibilities as assigned. CIPP/US or equivalent data privacy subject matter certification preferred. Familiarity with Privacy/GRC tools such as OneTrust and IBM Open Pages recommended.
Knowledge, Skills, and Abilities Advanced Knowledge of
Concepts, practices, and procedures of securities industry and/or banking compliance. Rules and regulations of SEC; FINRA; state securities regulatory agencies; FDIC; OCC; FFIEC; OTS; Federal Reserve System; state banking regulatory agencies. Investment concepts, practices and procedures used in the securities industry. Principles of banking and finance and securities industry operations. Financial markets and products.
Advanced Skill In
Administering regulatory notification and filings. 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 compliance 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 in 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.
Education and Experience
Bachelors Degree (B.A./B.S.) in a related discipline required with a Masters 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. Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications
None Required. Additional licenses/certifications demonstrating the candidates knowledge/expertise in industry regulation and concepts preferred.
Travel : Less than 25% Workstyle : Hybrid 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
The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. Seniority level
Seniority level : Director Employment type
Employment type : Full-time Job function
Job function : Legal #J-18808-Ljbffr