Director, Compliance Training and Education

Raymond James • CO

110d • $130,000 - $150,000

About The Position

Under administrative supervision, uses extensive knowledge and skills obtained through education and experience to build, analyze, and continuously improve the Enterprise Compliance Training & Education (ECT) program. Creates, directs and manages the overall strategy and ongoing execution of compliance-based learning and development processes as applicable. Leads projects, programs & processes with significant cross-functional business impact. Provides comprehensive solutions and escalates problems (when appropriate). Extensive contact with senior management is required to identify and resolve complex issues. Provide comprehensive solutions to challenges and changing regulatory requirements. Consults and collaborates with senior leaders on compliance learning topics and best practices for implementation and successful completions. Incorporates adult learning industry best practices into consultations with stakeholders across the enterprise on short and long-term learning strategies that mitigate risk and build compliance capabilities. Leads and inspires a team to develop engaging compliance learning experiences that equip associates with the knowledge and tools needed to uphold market integrity, safeguard clients, and advance their professional growth.

Requirements

• Bachelor’s Degree (B.A./B.S.).
• 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.
• Experience with Firm systems, data transformation and control development lifecycle.

Nice To Haves

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Responsibilities

• Build and drive the Enterprise Compliance Training Program.
• Develop a strategy to incorporate emerging compliance risks and regulatory trends into the training curriculum.
• Make recommendations on the most effective way to deliver training to compliance, business, and other key audiences.
• Collaborate with team leads on the execution of the training needs assessment.
• Ensure the outcomes are fully integrated into compliance training solutions without exceeding the defined scope.
• Collaborate on the development of the training plan and the governance of the plan’s execution.
• Oversee and manage the overall governance and standards for the continuing education program.
• Manage compliance training metrics and reporting to measure the effectiveness of compliance training.
• Lead and manage all aspects of large, complex projects through their entire project lifecycle.
• Serve as a member of the Enterprise Compliance Training & Education leadership team in developing short- and long-term goals and initiatives.

Benefits

• Salary Range $130,000.00-$150,000.00
• Remote workstyle
• Development opportunities
• Networking groups
• Prioritizing diversity and inclusion

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: Bachelor's degree
• Number of Employees: 1-10 employees