Compliance Senior Manager, RJ Bank

Raymond James•Saint Petersburg, FL

6d•Hybrid

About The Position

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 unreviewed 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.

Requirements

Advanced knowledge of: Concepts, practices, and procedures of the retail banking, securities industry, and banking compliance.
Rules and regulations of the Federal Deposit Insurance Corporation (FDIC); Federal Financial Institutions Examination Council (FFIEC); Federal Reserve Board (FRB); Consumer Financial Protection Bureau (CFPB), and state banking regulatory agencies
Principles of banking and finance and securities industry operations.
Financial markets and products.
Advanced skills in: Integrating and aligning compliance processes and procedures with business processes.
Coordinating complex compliance activities
Reviewing materials for compliance with rules and regulations
Reviewing and providing feedback regarding other associates’ work
Researching regulatory and compliance topics
Conducting compliance testing and monitoring
Developing compliance training courses
Acquiring information and preparing oral and written reports
Delivering written and oral presentations
Investigating compliance irregularities
Making rule and risk-based analytical decisions
Operating standard office equipment and using required software applications such as Microsoft Word, Excel, PowerPoint, Outlook, and Teams.
Ability to: 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 the 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.
Bachelor’s degree (B.A. /B.S.) and a minimum of eight (8) years of experience in Compliance and/or the financial services industry preferred.
Any equivalent combination of experience, education, and/or training approved by Human Resources.

Nice To Haves

Knowledge of Securities Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), state securities regulatory agencies, and Office of the Comptroller of the Currency (OCC) regulations is beneficial but not required
Knowledge of Investment concepts, practices, and procedures used in the securities industry is beneficial but not required
CRCM highly preferred
Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Responsibilities

Oversees and/or executes elements of the RJ Bank compliance program(s) to ensure regulatory requirements are addressed, including: Regulatory Change Marketing Materials Reviews Deposit Compliance Advice and Guidance, including Treasury Management
Performs compliance testing and monitoring activities, including preplanning, identifying risk-based scope, communicating with business and stakeholders, assessing policies/procedures, transactional testing, and results reporting, for applicable coverage areas.
Performs regulatory change impact analysis and develops and sends regulatory change communications.
Performs compliance reviews of deposit and cash solutions marketing materials to verify compliance with applicable rules and regulations.
Provides advice and guidance on compliance matters to the Deposit and Treasury Management lines of business.
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 ability to do so with the appropriate level of urgency.
Assists management in implementing appropriate 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 functions to improve operational efficiencies of compliance systems.
Balances conflicting resource and priority demands.
Performs other duties and responsibilities as assigned.