Strategy Governance and Reporting Compliance Manager

Raymond James•Saint Petersburg, FL

13d•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 assigned compliance functions and key initiatives within PCG & Asset Management Compliance (PAC). As part of the Strategy, Governance & Reporting team, the position focuses on issues management, regulatory change management, exam coordination, books and records management, and the identification and mitigation of emerging risks. The Strategy, Governance & Reporting team is responsible for prioritizing and executing enterprise-wide compliance initiatives; standardizing processes and procedures; developing scalable solutions and technology platforms; and delivering strategic reporting to senior leadership across all PAC verticals. This role is responsible for resolving or recommending solutions to complex issues, leading defined projects of moderate scope, and driving workstream execution. This position involves significant collaboration with internal stakeholders to identify, research, and resolve issues, while proactively escalating highly complex or sensitive matters to leadership as appropriate. Additional responsibilities may be assigned as needed.

Requirements

Knowledge of concepts, practices, and procedures of securities industry and/or banking compliance reviews.
Knowledge of 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.
Knowledge of fundamental investment concepts, practices and procedures used in the securities industry.
Knowledge of principles of banking and finance and securities industry operations.
Knowledge of financial markets and products.
Skill in integrating and aligning compliance processes and procedures with business processes.
Skill in coordinating complex compliance activities.
Skill in providing support and guidance for compliance efforts.
Skill in identifying and implementing controls and quality assurance processes.
Skill in reviewing materials for compliance with rules and regulations.
Skill in researching compliance issues.
Skill in developing compliance training programs.
Skill in gathering information and preparing oral and written reports.
Skill in preparing and delivering written and oral presentations.
Skill in investigating relevant irregularities.
Skill in making rule-based and analytical decisions.
Skill in operating standard office equipment and using required software applications.
Skill in creating detailed desk procedures that standardize workflows, enhance process transparency, and support effective execution of controls and regulatory requirements.
Ability to provide a high level of customer service.
Ability to partner with other functional areas to accomplish objectives.
Ability to facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.
Ability to attend to detail while maintaining a big picture orientation.
Ability to gather information, identify linkages and trends, and apply findings to assignments.
Ability to interpret and apply securities and/or banking regulations and identify and recommend compliance changes as appropriate.
Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
Ability to use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.
Ability to work independently as well as collaboratively within a team environment.
Ability to establish and maintain effective working relationships at all levels of the organization.
Ability to maintain confidentiality.
Ability to maintain currency in securities and/or banking industry rules and regulations and best practices in compliance.
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.
Any equivalent combination of experience, education, and/or training approved by Human Resources.

Nice To Haves

Working knowledge of Smartsheet, preferred
Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Responsibilities

Partners with PCG & Asset Management Compliance stakeholders in strategic compliance initiatives related to issues, regulatory changes, or emerging risks.
Manages and tracks issues and action plans owned by PCG & Asset Management Compliance from identification to completion to ensure transparency, accountability, and resolution.
Interfaces with associates of varying levels of seniority to document and manage issues, regulatory changes, books and records, exam coordination, and emerging risks.
Coordinates with Internal Audit, Compliance Testing, Regulatory Exams and Inquiries Management Compliance and Risk Management for issues and action plans identified outside of PCG & Asset Management Compliance.
Assists in coordinating with PCG & Asset Management teams to ensure accurate, complete, and timely status updates are received for issues, regulatory changes, and emerging risks.
Prepares and delivers written and oral presentations to management as needed.
Participates in projects/initiatives as needed.
Performs other duties and responsibilities as assigned.