Director of Risk & Trends Surveillance

Raymond James • CO

106d • $130,000 - $150,000

About The Position

Under administrative supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance to support the design, implementation and supervision of a comprehensive compliance and surveillance program. Leads major projects, programs, or processes with significant business impact. Supervises others to perform difficult assignments that are broad in nature. Influences strategic direction and develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Maintains extensive contact with customers and regulatory agencies to identify, research, analyze and resolve complex issues.

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.

Nice To Haves

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

Responsibilities

• Leads the development and execution of enterprise-wide risk assessments focused on prioritized risk topics, identifying emerging risks and recommending mitigation strategies aligned with business objectives.
• Synthesizes complex data from surveillance, compliance, and operational sources to produce actionable insights that inform risk mitigation and strategic decision-making.
• Collaborates cross-functionally with business units, compliance, legal, and operations to ensure risk assessment findings are integrated into business processes and controls.
• Designs and maintains a risk taxonomy and risk register to ensure consistent identification, classification, and tracking of firm-wide risks.
• Develops and presents risk trend analyses and dashboards to senior leadership, highlighting key risk indicators (KRIs), root causes, and potential impact to the firm.
• Monitors internal and external risk environments, including regulatory developments, industry trends, and competitor actions, to proactively adjust risk strategies.
• Oversees the documentation and communication of risk mitigation plans, ensuring accountability and timely execution across impacted departments.
• Partners with internal audit, testing, oversight and monitoring and compliance teams to align risk assessments with audit findings and regulatory expectations.
• Evaluates the effectiveness of existing risk controls and recommends enhancements to improve resilience and reduce exposure.
• Champions the use of advanced analytics, automation, and technology to enhance risk detection and reporting capabilities.
• Performs human resource management activities including identifying performance problems, approving recommendations for remedial action, evaluating performance, and interviewing and selecting staff.
• Plans, assigns, monitors, reviews, evaluates, and leads the work of others.
• Develops and maintains compliance programs, systems, policies, and procedures to ensure compliance with federal, state, and self-regulatory regulations.
• Minimizes the firm’s risk exposure while balancing business concerns.
• Coordinates the preparation and submission of regulatory filings and maintains required compliance documents.
• Coaches and mentors subordinates, identifies training needs and recommends appropriate development programs.
• Maintains the required compliance systems for the firm while fostering positive business relationships with department associates and branch associates/affiliates.
• Serves as the primary liaison between the organization and industry regulators by responding to inquiries, audits, complaints, and investigations.
• May serve as a liaison between the organization and industry committees such as SIA, FSI, and the FINRA.
• Reviews compliance and risk management controls and recommends appropriate changes, as required.
• Serves as a subject matter expert on compliance issues by maintaining proficient knowledge of applicable compliance statutory regulations and interpretations.
• Continually evaluates the department structure and strategic plan, considering future growth.
• Promotes overall efficiency while maintaining a commitment to compliance standards and excellent service.
• Ensures processes and procedures support efficient and timely workflow.
• Performs other duties and responsibilities as assigned.

Benefits

• Salary Range $130,000.00-$150,000.00
• Remote workstyle
• Development opportunities and enriching networking groups
• Prioritizing diversity, inclusion and the power of different perspectives

What This Job Offers

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