Raymond James
Join to apply for the
Compliance Manager, RJ Bank
role at
Raymond James
Get AI-powered advice on this job and more exclusive features.
Job Description Summary
Under intermittent supervision, uses extensive knowledge and skills obtained through education and experience in the banking and financial services industry to oversee and manage aspects of the RJ Bank compliance program activities, including regulatory change management, supplier risk management, policy governance, and metrics and reporting. In addition, will lead and conduct compliance testing and monitoring activities, perform risk assessments, assist in new product implementation projects, and create compliance training content. May work independently on complex assignments and projects that are broad in nature. Ability to conduct independent regulatory research and summarize results into easily understandable conclusions. Has ability to identify solutions to complex business challenges. Skill to develop strong rapport with business counterparts and colleagues and provide advisory services on a wide variety of bank topics.
Essential Duties and Responsibilities
Oversees elements of the RJ Bank compliance program to ensure regulatory requirements are addressed by the business processes.
Conducts Compliance new product risk assessments as part of new vendor and/or new product implementation.
Works with business to assess and implement new Bank products, services, technologies, and initiatives.
Provides advice and guidance to business partners on regulatory compliance matters.
May lead and perform RJ Bank Compliance testing and monitoring activities and participate in the Bank’s Complaint Program oversight and management processes.
Assists in developing and updating RJ Bank policies.
Assists with the development of compliance training.
Assists management to implement appropriate controls to detect and address potential compliance problems.
Assists with regulatory examinations and audits, ensuring that requested information and reports are provided.
Research compliance issues.
Routinely interacts with RJ Bank and Compliance senior management teams.
Prepares and delivers written and oral presentations to management.
Performs other duties and responsibilities as assigned.
Excellent written and verbal communication and presentation skills are required.
Experience in reviewing and editing written materials including policies, procedures, presentations, and testing reports.
Ability to perform risk-based compliance testing.
Ability to determine matters requiring escalation to RJ Bank compliance management and ability to do so with the appropriate level of urgency.
Qualifications
Bachelor's Degree (B.A./B.S.) in a related discipline and a minimum of six (6) years of experience in Compliance and/or the financial services industry.
Juris Doctorate (J.D.) including prior legal experience preferred.
Experience with FFIEC, FRB, CFPB, and state banking regulatory agencies.
Advanced knowledge of banking and finance principles, securities industry operations, and financial markets.
Strong analytical, communication, and interpersonal skills.
Ability to work independently and collaboratively in a fast‑paced environment.
Education & Experience
Bachelor’s Degree (B.A./B.S.) in a related discipline. 6+ years compliance experience. JD preferred.
Travel
Less than 25% travel.
Work Style
Hybrid.
The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
#J-18808-Ljbffr
Compliance Manager, RJ Bank
role at
Raymond James
Get AI-powered advice on this job and more exclusive features.
Job Description Summary
Under intermittent supervision, uses extensive knowledge and skills obtained through education and experience in the banking and financial services industry to oversee and manage aspects of the RJ Bank compliance program activities, including regulatory change management, supplier risk management, policy governance, and metrics and reporting. In addition, will lead and conduct compliance testing and monitoring activities, perform risk assessments, assist in new product implementation projects, and create compliance training content. May work independently on complex assignments and projects that are broad in nature. Ability to conduct independent regulatory research and summarize results into easily understandable conclusions. Has ability to identify solutions to complex business challenges. Skill to develop strong rapport with business counterparts and colleagues and provide advisory services on a wide variety of bank topics.
Essential Duties and Responsibilities
Oversees elements of the RJ Bank compliance program to ensure regulatory requirements are addressed by the business processes.
Conducts Compliance new product risk assessments as part of new vendor and/or new product implementation.
Works with business to assess and implement new Bank products, services, technologies, and initiatives.
Provides advice and guidance to business partners on regulatory compliance matters.
May lead and perform RJ Bank Compliance testing and monitoring activities and participate in the Bank’s Complaint Program oversight and management processes.
Assists in developing and updating RJ Bank policies.
Assists with the development of compliance training.
Assists management to implement appropriate controls to detect and address potential compliance problems.
Assists with regulatory examinations and audits, ensuring that requested information and reports are provided.
Research compliance issues.
Routinely interacts with RJ Bank and Compliance senior management teams.
Prepares and delivers written and oral presentations to management.
Performs other duties and responsibilities as assigned.
Excellent written and verbal communication and presentation skills are required.
Experience in reviewing and editing written materials including policies, procedures, presentations, and testing reports.
Ability to perform risk-based compliance testing.
Ability to determine matters requiring escalation to RJ Bank compliance management and ability to do so with the appropriate level of urgency.
Qualifications
Bachelor's Degree (B.A./B.S.) in a related discipline and a minimum of six (6) years of experience in Compliance and/or the financial services industry.
Juris Doctorate (J.D.) including prior legal experience preferred.
Experience with FFIEC, FRB, CFPB, and state banking regulatory agencies.
Advanced knowledge of banking and finance principles, securities industry operations, and financial markets.
Strong analytical, communication, and interpersonal skills.
Ability to work independently and collaboratively in a fast‑paced environment.
Education & Experience
Bachelor’s Degree (B.A./B.S.) in a related discipline. 6+ years compliance experience. JD preferred.
Travel
Less than 25% travel.
Work Style
Hybrid.
The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
#J-18808-Ljbffr