100 Raymond James & Associates, Inc.
Compliance Director, Privacy
100 Raymond James & Associates, Inc. - St. Petersburg, Florida, United States, 33739
Work at 100 Raymond James & Associates, Inc.
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Overview
Compliance Director, Privacy page is loaded Compliance Director, Privacy Apply locations St Petersburg, Florida - United States time type Full time posted on Posted Yesterday job requisition id R-0005992
Job Description Summary 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 firm’s overall efforts to manage data privacy risk. This role is responsible for collaborating with peers and senior leaders in support of the firm’s 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.
Job Description Essential Duties and 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: 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.
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 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.) in a related discipline required with a Master’s 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.
~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. #LI-AF1 About Raymond James
Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm. Today, Raymond James has locations and subsidiaries across the United States, Canada, the United Kingdom and Germany, and is listed on the New York Stock Exchange under the symbol RJF. Join our Talent Network
Thanks for your interest in working with Raymond James. While we might not have the perfect role for you today, we'd love to keep in touch.
Our business is deeply focused on people and their financial well-being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good aren't mutually exclusive. As an established but ever-evolving company, you can start – or continue – growing your career here. We invest in you with wide-ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow. Our people-first culture is outlined in our Culture Blueprint . Check it out to see why many choose to work at Raymond James – and why they stay.
#J-18808-Ljbffr
Job Description Summary 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 firm’s overall efforts to manage data privacy risk. This role is responsible for collaborating with peers and senior leaders in support of the firm’s 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.
Job Description Essential Duties and 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: 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.
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 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.) in a related discipline required with a Master’s 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.
~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. #LI-AF1 About Raymond James
Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm. Today, Raymond James has locations and subsidiaries across the United States, Canada, the United Kingdom and Germany, and is listed on the New York Stock Exchange under the symbol RJF. Join our Talent Network
Thanks for your interest in working with Raymond James. While we might not have the perfect role for you today, we'd love to keep in touch.
Our business is deeply focused on people and their financial well-being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good aren't mutually exclusive. As an established but ever-evolving company, you can start – or continue – growing your career here. We invest in you with wide-ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow. Our people-first culture is outlined in our Culture Blueprint . Check it out to see why many choose to work at Raymond James – and why they stay.
#J-18808-Ljbffr