IT Compliance Senior Manager

Raymond James • Saint Petersburg, FL

1d • Hybrid

About The Position

Under intermittent supervision and with a high level of autonomy, the IT Compliance Senior Manager applies extensive knowledge and skills gained through experience, specialized training, and/or certification in information technology, data governance, and the securities or banking industry to support Raymond James Financial’s Information Compliance Risk Management (ICRM) Information Technology Compliance program. The role 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 decisions. The position provides comprehensive solutions to escalated problems and maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze, and resolve complex issues.

The position executes regulatory assessments and monitoring, advises clients and staff on compliance matters, contributes to policy and standards reviews, researches regulatory developments, and leads the ongoing development of IT Compliance metrics and reporting. It also supports process improvement and works with other teams and committees to address compliance risks and objectives.

The role is hybrid, with travel of less than 25%.

Requirements

• Bachelor’s degree and a minimum of eight years of experience in Compliance and/or the financial services industry preferred, or an equivalent combination of experience, education, and/or training approved by Human Resources.
• Advanced knowledge of securities industry and banking compliance concepts, practices, and procedures.
• Advanced knowledge of information technology and information security controls and regulations.
• Advanced knowledge of rules and regulations of the Office of the Comptroller of the Currency (OCC), Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and state securities regulatory agencies.
• Advanced knowledge of Section 404 of the Sarbanes-Oxley Act of 2002.
• Advanced knowledge of retail and clearing firm operations, financial markets and products, and investment concepts, practices, and procedures used in the securities industry.
• Skill in planning and scheduling work to meet regulatory and organizational requirements.
• Skill in investigating compliance issues and irregularities; making rule-based and analytical decisions; and identifying and applying appropriate compliance monitoring procedures and tests.
• Professional written and verbal communication skills for addressing varied internal and external audiences, and skill in preparing oral and written reports.
• Project management skills and experience sufficient to complete short- and long-term projects.
• Ability to operate standard office equipment and use required software to produce correspondence, reports, electronic communications, spreadsheets, and databases.
• Ability to manage multiple concurrent tasks, delegated work, deadlines, frequent interruptions, and changing priorities in a fast-paced environment.
• Ability to maintain attention to detail while retaining a big-picture perspective.
• Ability to communicate effectively and professionally with all organizational levels and establish and communicate clear directions and priorities.
• Ability to gather information, identify linkages and trends, and apply findings to operations.
• Ability to maintain current knowledge of laws, rules, and regulations related to compliance in assigned functional areas.
• Ability to work independently and collaboratively, partner with other functional areas, and resolve problems.
• Ability to facilitate meetings so that viewpoints, ideas, and problems are addressed.
• Ability to maintain confidentiality.

Nice To Haves

• Additional licenses or certifications demonstrating knowledge or expertise in industry regulations and concepts.

Responsibilities

• Execute annual and targeted regulatory assessments.
• Monitor IT issue progress and changes on an ongoing basis and escalate matters as needed.
• Participate in the annual review of IT policies and standards and recommend required changes to Senior Management.
• Serve as a resource on compliance issues for clients and staff.
• May serve as a compliance liaison on committees and projects, representing the department’s interests.
• Research regulatory updates, identify their impacts, and develop and deliver communication plans for affected teams.
• Identify process improvement opportunities to streamline IT Compliance functions and improve efficiency.
• Establish objectives and develop processes for ongoing monitoring of IT exceptions and potential regulatory compliance impacts.
• Prepare periodic reports on compliance issues as required.
• Lead the ongoing development of IT Compliance metrics and reporting.
• Perform other assigned duties and responsibilities.

Benefits

• Benefits package may include medical, dental, and vision coverage; life insurance; critical illness and accident insurance; disability benefits; retirement savings; paid time off including vacation, holidays, and sick leave; and parental leave. Eligibility and specific offerings may vary by position and employment status.
• The position may include additional compensation such as cash or equity, discretionary bonuses, or commissions.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior