IT Compliance Senior Manager

Sr. Manager, IT Compliance

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 the securities or banking industry compliance to support the Information Technology Compliance program of Raymond James Financial. The Sr. Manager, IT Compliance is responsible for implementing and executing the strategy, governance processes, an overall IT Compliance program to comply with applicable laws. This role is organized under the Information Compliance Risk Management group and will help support the overall departmental goals and objectives.

Essential Duties and Responsibilities :

• Helps drive compliance strategic direction toward Information Technology, Information Security, Data governance, protection, and management.
• Perform risk assessments and monitoring activities to assess the design, completeness, and effectiveness of regulatory obligations.
• Implement formal testing protocols for key risks and controls.
• Monitor regulatory developments and assess applicability to IT and maintain a centralized inventory of regulatory obligations and dependencies.
• Develop, maintain, and enforce IT compliance policies and standards and ensure alignment with enterprise governance structures.
• Maintain policy mappings to regulatory obligations and control frameworks such as NIST, CRI, and FFIEC.
• Promote a culture of compliance through ongoing education and conduct process-specific training for escalated items.
• Report metrics to regional and enterprise committees for visibility and strategic decision-making.
• Prepare for and respond to regulatory exams and inquiries and coordinate with internal audit and external regulators.
• Coordinate with business lines and risk stakeholders to ensure consistent oversight of regulatory obligations.
• Provide strategic guidance to IT teams for implementing regulatory changes and mitigating emerging risks.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities :

Advanced knowledge of :

Advanced 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.