Description

　　Job 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

　　Essential Duties and Responsibilities

　　Assists policy owners in creating and updating enterprise policies to ensure continued alignment with regulatory obligations. This includes facilitating:o The enterprise policy review and drafting process.

　　o Vetting discussions with key senior stakeholders (defined by policy owners) to ensure comprehensive review of enterprise policies.

　　o Review and approval of enterprise policies at the Enterprise Risk Management Committee and when required the RJF Board of Directors or a subcommittee thereof.

　　o Publication of policies, noting key substantive changes to all associates, including international subsidiaries.

　　Supports creation and update of 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.

　　Supports 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. Reviews international subsidiary trainings to ensure consistency.

　　Works with the New Products team and the business units, at least annually, to identify new products and business lines that may require new or revised enterprise policies.

　　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.

　　Qualifications

　　Knowledge, Skills, and Abilities

　　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.

　　Advanced 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

　　Education/Previous Experience

　　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.

　　Appropriate series license(s) for assigned functional area preferred.

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

　　Job: Compliance

　　Primary Location: US-FL-St. Petersburg-Saint Petersburg

　　Organization RJF Corporate

　　Schedule Full-time

　　Job Shift Day Job

　　Travel Yes, 20 % of the Time

　　Req ID: 2400224