Sr. Manager Compliance, RJ Bank

Compliance Manager

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 an assigned compliance function. Leads major projects, programs, or processes with significant business impact. Influences strategic direction, develops tactical plans, and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalate problems or needs. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze, and resolve complex issues.

Essential Duties and Responsibilities

• Oversees elements of the RJ Bank compliance program(s) to ensure regulatory requirements are addressed, including :
• Insider Lending Program
• Transactions with Affiliates Program
• Manages the Compliance training by collaborating with RJF Compliance and the Organization Training and Development Team to create and develop training content for applicable coverage areas.
• Maintains RJ Bank's sound compliance management system standards while fostering positive business relationships with business counterparts, and second and third-line functions.
• Establishes objectives and develops processes and procedures to ensure adherence to regulatory requirements.
• Ability to manage and 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.
• Assists management to implement appropriate controls to detect and address potential compliance problems.
• Excellent communications skills; May present to and interact with RJ Bank Board of Directors and Executives Officers
• Researches regulatory updates to identify relevant changes and provides advice and guidance to the business
• Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.
• Balances conflicting resource and priority demands.
• 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.