Raymond James
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Sr. Manager Compliance, RJ Bank
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Raymond James Get AI-powered advice on this job and more exclusive features. 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 securities or banking industry compliance to administer and manage an assigned compliance function. Leads major projects, programs, or processes with significant business impact. Influences strategic direction, develops tactical plans, and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalate problems or needs. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze, and resolve complex issues. Essential Duties and Responsibilities Oversees elements of the RJ Bank compliance program(s) to ensure regulatory requirements are addressed, including: Insider Lending Program Transactions with Affiliates Program Manages the Compliance training by collaborating with RJF Compliance and the Organization Training and Development Team to create and develop training content for applicable coverage areas. Maintains RJ Bank’s sound compliance management system standards while fostering positive business relationships with business counterparts, and second and third-line functions. Establishes objectives and develops processes and procedures to ensure adherence to regulatory requirements. Ability to manage and perform risk-based compliance testing. Ability to determine matters requiring escalation to RJ Bank compliance management and do so with appropriate urgency. Assists management in implementing controls to detect and address potential compliance problems. Excellent communication skills; may present to and interact with RJ Bank Board of Directors and Executive Officers. Researches regulatory updates to identify relevant changes and provides advice and guidance to the business. Identifies, recommends, and works with other areas of the firm to automate and streamline compliance functions. Balances conflicting resource and priority demands. Performs other duties as assigned. Knowledge, Skills, And Abilities Advanced knowledge of: Concepts, practices, and procedures of securities industry and/or banking compliance. Rules and regulations of FDIC, FFIEC, FRB, CFPB, and state banking agencies. Knowledge of SEC, FINRA, state securities, and OCC regulations is beneficial but not required. Knowledge of investment concepts and securities industry operations is beneficial but not required. Principles of banking, finance, and securities industry operations. Financial markets and products. Advanced Skills in: Integrating compliance processes with business processes. Coordinating complex compliance activities. Reviewing materials for compliance. Providing feedback on others’ work. Researching regulatory topics. Conducting compliance testing and monitoring. Developing training courses. Reporting and presenting findings. Investigating irregularities. Making analytical decisions based on rules and risks. Operating office equipment and software. Ability To Partner across functions to meet objectives. Facilitate meetings effectively. Pay attention to detail while maintaining a big picture view. Work under pressure and manage multiple tasks. Communicate effectively at all organizational levels. Work independently and collaboratively. Maintain confidentiality. Stay current with laws and regulations. Interpret policies and recommend changes. Process data quantitatively and qualitatively. Implement department strategies. Promote team cooperation and effectiveness. Educational/Experience Requirements Bachelor’s degree and at least 8 years in compliance or financial services preferred. ~or~ Equivalent experience, education, or training approved by HR. Licenses/Certifications None required; industry-specific certifications preferred. Travel : Less than 25% Workstyle : Hybrid Raymond James fosters a culture of growth, collaboration, and integrity, emphasizing client-first values and long-term success. We value diversity and are an equal opportunity employer. Seniority level
Mid-Senior level Employment type
Full-time Job function
Legal
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Sr. Manager Compliance, RJ Bank
role at
Raymond James Get AI-powered advice on this job and more exclusive features. 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 securities or banking industry compliance to administer and manage an assigned compliance function. Leads major projects, programs, or processes with significant business impact. Influences strategic direction, develops tactical plans, and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalate problems or needs. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze, and resolve complex issues. Essential Duties and Responsibilities Oversees elements of the RJ Bank compliance program(s) to ensure regulatory requirements are addressed, including: Insider Lending Program Transactions with Affiliates Program Manages the Compliance training by collaborating with RJF Compliance and the Organization Training and Development Team to create and develop training content for applicable coverage areas. Maintains RJ Bank’s sound compliance management system standards while fostering positive business relationships with business counterparts, and second and third-line functions. Establishes objectives and develops processes and procedures to ensure adherence to regulatory requirements. Ability to manage and perform risk-based compliance testing. Ability to determine matters requiring escalation to RJ Bank compliance management and do so with appropriate urgency. Assists management in implementing controls to detect and address potential compliance problems. Excellent communication skills; may present to and interact with RJ Bank Board of Directors and Executive Officers. Researches regulatory updates to identify relevant changes and provides advice and guidance to the business. Identifies, recommends, and works with other areas of the firm to automate and streamline compliance functions. Balances conflicting resource and priority demands. Performs other duties as assigned. Knowledge, Skills, And Abilities Advanced knowledge of: Concepts, practices, and procedures of securities industry and/or banking compliance. Rules and regulations of FDIC, FFIEC, FRB, CFPB, and state banking agencies. Knowledge of SEC, FINRA, state securities, and OCC regulations is beneficial but not required. Knowledge of investment concepts and securities industry operations is beneficial but not required. Principles of banking, finance, and securities industry operations. Financial markets and products. Advanced Skills in: Integrating compliance processes with business processes. Coordinating complex compliance activities. Reviewing materials for compliance. Providing feedback on others’ work. Researching regulatory topics. Conducting compliance testing and monitoring. Developing training courses. Reporting and presenting findings. Investigating irregularities. Making analytical decisions based on rules and risks. Operating office equipment and software. Ability To Partner across functions to meet objectives. Facilitate meetings effectively. Pay attention to detail while maintaining a big picture view. Work under pressure and manage multiple tasks. Communicate effectively at all organizational levels. Work independently and collaboratively. Maintain confidentiality. Stay current with laws and regulations. Interpret policies and recommend changes. Process data quantitatively and qualitatively. Implement department strategies. Promote team cooperation and effectiveness. Educational/Experience Requirements Bachelor’s degree and at least 8 years in compliance or financial services preferred. ~or~ Equivalent experience, education, or training approved by HR. Licenses/Certifications None required; industry-specific certifications preferred. Travel : Less than 25% Workstyle : Hybrid Raymond James fosters a culture of growth, collaboration, and integrity, emphasizing client-first values and long-term success. We value diversity and are an equal opportunity employer. Seniority level
Mid-Senior level Employment type
Full-time Job function
Legal
#J-18808-Ljbffr