Compliance Manager, RJ Bank

Compliance Program Manager

Under intermittent supervision, uses extensive knowledge and skills obtained through education and experience in the banking and financial services industry to oversee and manage aspects of the following RJ Bank's compliance program activities, including regulatory change management, supplier risk management, policy governance, and metrics and reporting. In addition, will lead and conduct compliance testing and monitoring activities, perform risk assessments, assist in new product implementation projects, and create compliance training content. May work independently on complex assignments and projects that are broad in nature. Ability to conduct independent regulatory research and summarize results into easily understandable conclusions. Has ability to identify solutions to complex business challenges. Skill to develop strong rapport with business counterparts and colleagues and provide advisory services on a wide variety of bank topics.

Essential Duties and Responsibilities

• Oversees elements of the RJ Bank compliance program to ensure regulatory requirements are addressed by the business processes.
• Conducts Compliance new product risk assessments as part of new vendor and / or new product implementation.
• Works with business to assess and implement new Bank products, services, technologies, and initiatives.
• Provides advice and guidance to business partners on regulatory compliance matters.
• May lead and perform RJ Bank Compliance testing and monitoring activities and participate in the Bank's Complaint Program oversight and management processes.
• Assists in developing and updating RJ Bank policies.
• Assists with the development of compliance training
• Assists management to implement appropriate controls to detect and address potential compliance problems.
• Assists with regulatory examinations and audits, ensuring that requested information and reports are provided.
• Research compliance issues.
• Routinely interacts with RJ Bank and Compliance senior management teams.
• Prepares and delivers written and oral presentations to management.
• Performs other duties and responsibilities as assigned.
• Excellent written and verbal communication and presentation skills are required.
• Experience in reviewing and editing written materials including policies, procedures, presentations, and testing reports.
• Ability to perform risk-based compliance testing.
• Ability to determine matters requiring escalation to RJ Bank compliance management and ability to do so with the appropriate level of urgency.

Knowledge, Skills, and Abilities

Knowledge of :

Skill in :

Ability to :

Educational / Previous Experience Requirements

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. We expect our associates at all levels to : Grow professionally and inspire others to do the same Work with and through others to achieve desired outcomes Make prompt, pragmatic choices and act with the client in mind Take ownership and hold themselves and others accountable for delivering results that matter Contribute to the continuous evolution of the firm

At Raymond James as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.