Raymond James

Job Description Summary

Monitor and analyze the organization's operational risk exposure, and contribute to the development of operational risk policies. Analyze existing processes, procedures and systems and advise on improvements.

Under general supervision, uses extensive knowledge, and skills gained through experience, specialized training, and/or certification in project management, information compliance risk management, and the securities and/or banking industry to support Information Compliance Risk Management’s (ICRM) people, processes, technology initiatives, and routine activities through effective collaboration with various stakeholders. Oversees compliance functions, provides strategic guidance, and serve as a liaison across functional areas. Responsibilities include independently leading and managing complex assignments, leading or supporting high-impact projects, collaborating extensively with stakeholders, and delivering comprehensive solutions to intricate issues while maintaining strong relationships with internal customers to ensure timely issue resolution. Demonstrates strong project management experience and the ability to influence and lead cross-functional teams without direct reporting lines. Demonstrates the ability to operate effectively in dynamic and occasionally ambiguous environments by applying structured program management practices, exercising sound judgment, and remaining adaptable. Thrives amid evolving priorities by using initiative, collaboration, and problem-solving skills to navigate uncertainty and drive results while managing multiple projects and/or tasks simultaneously.

Job Description

Job Summary

Under general supervision, uses extensive knowledge, and skills gained through experience, specialized training, and/or certification in project management, information compliance risk management, and the securities and/or banking industry to support Information Compliance Risk Management’s (ICRM) people, processes, technology initiatives, and routine activities through effective collaboration with various stakeholders. Oversees compliance functions, provides strategic guidance, and serve as a liaison across functional areas. Responsibilities include independently leading and managing complex assignments, leading or supporting high-impact projects, collaborating extensively with stakeholders, and delivering comprehensive solutions to intricate issues while maintaining strong relationships with internal customers to ensure timely issue resolution. Demonstrates strong project management experience and the ability to influence and lead cross-functional teams without direct reporting lines. Demonstrates the ability to operate effectively in dynamic and occasionally ambiguous environments by applying structured program management practices, exercising sound judgment, and remaining adaptable. Thrives amid evolving priorities by using initiative, collaboration, and problem-solving skills to navigate uncertainty and drive results while managing multiple projects and/or tasks simultaneously.

Essential Duties and Responsibilities

• Leads and manages cross-functional projects/programs that support enterprise-wide initiatives in privacy, IT compliance, books and records, and global shared services and assurance.
• Oversees the planning, execution, and delivery of strategic projects, ensuring alignment with regulatory requirements, internal policies, and business objectives.
• Serves as a key liaison between business units, technology teams, legal, and compliance stakeholders to ensure effective coordination and communication across initiatives.
• Provides support, as needed, for special projects and initiatives within the ICRM department.
• Continuously develops and maintains knowledge in global privacy regulations, IT compliance standards (e.g., NIST, ISO), records retention requirements, and project management best practices to effectively guide program strategy, execution, and decision-making.
• Supports the development and continuous improvement of policies, procedures, and controls related to data protection, system compliance, and records lifecycle management.
• Assists with tracking and reporting key performance indicators (KPIs) and program metrics to senior leadership, identifying trends, gaps, and opportunities for improvement, when needed.
• Mentors and guides junior team members and project leads, fostering a culture of collaboration, accountability, and continuous learning.
• Recommends and drives process enhancements to improve operational efficiency, compliance posture, and stakeholder satisfaction.
• Leverages tools such as OneTrust, IBM OpenPages, SharePoint, and project management tools (e.g., Microsoft programs, Smartsheet, etc.) to support effective program execution, tracking, and oversight.
• Maintains readiness for internal and external audits by ensuring documentation, and evidence are consistently maintained and accessible.
• Collaborates with global shared services teams to ensure alignment and integration of compliance and governance practices across regions and functions, when needed.
• Collaborates closely with the program management team and senior management to align priorities, share insights, and ensure consistent execution of strategic initiatives across privacy, IT compliance, and records governance programs.

Knowledge, Skills, and Abilities

Knowledge of:

• Concepts, practices, and procedures of securities industry and/or banking compliance reviews.
• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or 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; and state banking regulatory agencies.
• Fundamental investment concepts, practices and procedures used in the securities industry.
• Principles of banking and finance and securities industry operations.
• Financial markets and products.
• CAPM or PMP preferred, or willingness to obtain within a designated timeframe.

Skill in:

• Overseeing compliance programs.
• Integrating and aligning compliance processes and procedures with business processes.
• Coordinating complex compliance activities.
• Providing support and guidance for compliance efforts.
• Identifying and implementing controls and quality assurance processes.
• Reviewing materials for compliance with rules and regulations.
• Researching compliance issues.
• Developing compliance training programs.
• Gathering information and preparing oral and written reports.
• Preparing and delivering written and oral presentations.
• Investigating relevant irregularities.
• Making rule-based and analytical decisions.
• Operating standard office equipment and using required software applications.

Ability to:

• Provide training, coaching, and mentoring for 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.
• Gather information, identify linkages and trends, and apply findings to assignments.
• Interpret and apply securities and/or banking regulations and identify and recommend compliance changes as appropriate.
• 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.
• Provide a high level of customer service.
• Establish and maintain effective working relationships at all levels of the organization.
• Maintain confidentiality.
• Maintain currency in project management, securities and/or banking industry rules and regulations and best practices in compliance.

Educational/Previous Experience Requirements

• Bachelor’s degree (B.A. /B.S.) and a minimum of six (6) 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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