VP, CCO, Clark Capital Management Group

Raymond James•Philadelphia, PA

1d•Hybrid

About The Position

This position manages and oversees all compliance functions for a specific division/department of Raymond James and Associates, specifically the RIA specific Compliance program for Clark Capital Management Group. The role involves leading major projects and programs with significant business impact, collaborating with cross-functional teams including Portfolio Management, Client Relationships, Risk, Legal, and business leadership to develop tactical plans for compliance initiatives. The VP, CCO works directly with Compliance Departments of institutional clients and various Boards of Directors, completing complex assignments with substantial autonomy and providing comprehensive solutions to complex problems. The role requires extensive contact with various business units and departments of Raymond James Investment Management and its subsidiaries.

Requirements

Extensive knowledge of Compliance and legal procedures in the financial services industry.
Extensive knowledge of Concepts, practices, and procedures of the financial services industry.
Extensive knowledge of Retail and clearing firm operations.
Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.
Organizational and time management skills sufficient to handle multiple priorities in a fast paced and ever-changing environment.
Project management skills and experience sufficient to successfully complete long and short-term projects.
Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
Ability to manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates.
Ability to plan, assign, monitor, review, evaluate and lead the work of others, coach, and mentor others.
Ability to work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
Ability to partner with other functional areas to accomplish objectives.
Ability to organize, prioritize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
Ability to use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels to accomplish objectives.
Ability to work independently as well as collaboratively within a team environment.
Bachelor’s degree in Accounting, Business Administration, or Data Processing.
More than 15 years of General Experience.
10 to 15 years of Manager Experience.

Responsibilities

Manages affiliate specific compliance programs, conducts activity and exception review, continuing education programs, as well as complaint review and response.
Identifies and manages regulatory risks associated with specific division and/or department assigned.
Develops, reviews, and adjusts the department’s supervisory procedures to adapt to changing regulatory and business environments.
Uses data and performance indicators to establish control mechanisms and other improvement initiatives, and ensures quality standards are consistently attained or exceeded.
Leads and manages all aspects of large, complex projects through their entire project lifecycle (initiation, planning, execution, closure).
Develops and sponsors tactics to achieve strategic objectives across functional groups or within a business group.
Establishes objectives and develops processes and procedures to ensure efficient and timely workflow.
Serves as a member of the leadership team in developing short- and long-term goals and initiatives to achieve strategic vision for the compliance department.
Represents Compliance on major firm level projects and/or initiatives.
Works with peers within RJIM Compliance program to provide guidance and support on the work of subordinate supervisors.
Coaches and mentors subordinates, identifies training needs and recommends appropriate development programs.
Develops systems and procedures to minimize the firm’s risk exposure while balancing business concerns.
Maintains the required compliance systems for the firm while fostering a positive relationship with department employees and management.
Responds to and oversees responses to regulatory inquiries.
Manages compliance exams of the firm by various regulatory bodies.
Performs other duties and responsibilities as assigned.