Compliance Sr. Manager, Enterprise Policy Governance

Job Description Summary

Under intermittent supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience to build, analyze, and continuously improve the enterprise policy governance program across Raymond James. Leads major projects, programs, or processes with significant business impact. Influences strategic direction, develops tactical plans and completes complex assignments with latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalated problems or needs. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze, and resolve complex issues.

Job Description

Essential Duties and Responsibilities

• Partners with policy owners in creating and updating enterprise policies to ensure continued alignment with regulatory obligations. This includes facilitating:
• The enterprise policy review and drafting process.
• Vetting discussions with key senior stakeholders (defined by policy owners) to ensure comprehensive review of enterprise policies.
• Review and approval of enterprise policies at the Enterprise Risk Management Committee and when required the RJF Board of Directors or a subcommittee thereof.
• Publication of policies, noting key substantive changes to all associates, including international subsidiaries.
• Collaborates with Stakeholders to create and update policies resulting from firm-wide enterprise policy governance gap analysis and needs assessment based on rules, regulations, and obligations of the Raymond James business model.
• Plays a role in the compliance reporting processes, including exception reporting, and approves corrective actions.
• Works with the Compliance Training team to ensure enterprise policy requirements are accurately and consistently communicated in Compliance Trainings. 
• May coach, train, and mentor others Compliance associates.
• Establishes objectives and develops processes and procedures to ensure adherence to all regulatory requirements.
• Monitors and reviews reporting, audits and compliance correspondence.
• Partners with business units to recommend policy and process changes to Senior Management.
• Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.
• Serves as a resource on compliance issues to clients and staff.
• May serve as a compliance liaison on various committees and projects representing the interest of the department.
• Research regulatory updates to identify linkages and trends and apply findings.
• Performs other duties and responsibilities as assigned.

 

Advanced Knowledge of:

·         Policy governance strategy, implementation, and oversight of a firm-wide program.

·         Project management and business process methodologies, tools, and practices.

·         Strategic planning processes and tools and methodologies for strategy formulation.

·         Compliance obligations, industry rules and regulations, and legal general procedures in the financial services industry.

·         Concepts, practices, and procedures of the financial services industry.

·         Bank holding company and retail broker dealer clearing firm operations.

Skill in:

·         Experience drafting documents, including reviewing, and editing.

·         Drafting policies.

·         Excellent written and verbal communications skills to professionally address a wide and varied audience, including executive management, 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 application to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Ability to:

·         Partner with other functional areas to accomplish objectives.

·         Organize, prioritize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.

·         Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels to accomplish objectives.

·         Work independently as well as collaboratively within a team environment.

·         Attend to detail while maintaining a big picture orientation.

 

Educational/Previous Experience Requirements

·         Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of eight (8) years of experience in Compliance and/or the financial services industry.

~or~

·         Any equivalent combination of experience, education, and/or training approved by Human Resources.

 

Licenses/Certifications

• None Required.

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Education

Work Experience

Certifications

Travel

Less than 25%

Workstyle

Hybrid

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave.  Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

 

 

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. 

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