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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:

+ Concepts, practices, and procedures of securities industry and/or banking compliance.

+ Rules and regulations of the Federal Deposit Insurance Corporation (FDIC); Federal Financial Institutions Examination Council (FFIEC); Federal Reserve Board (FRB); Consumer Financial Protection Bureau (CFPB), and state banking regulatory agencies

+ Knowledge of Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; Office of the Comptroller of the Currency (OCC) regulations is beneficial but not required

+ Knowledge of Investment concepts, practices and procedures used in the securities industry is beneficial but not required

+ Principles of banking and finance and securities industry operations.

+ Financial markets and products.

Advanced skill in:

+ Integrating and aligning compliance processes and procedures with business processes.

+ Coordinating complex compliance activities

+ Reviewing materials for compliance with rules and regulations

+ Reviewing and providing feedback regarding others associates’ work

+ Researching regulatory and compliance topics

+ Conducting compliance testing and monitoring

+ Developing compliance training courses

+ Acquiring information and preparing oral and written reports

+ Delivering written and oral presentations

+ Investigating compliance irregularities

+ Making rule and risk-based analytical decisions

+ Operating standard office equipment and using required software applications

Ability to:

+ Partner with other functional areas to accomplish objectives.

+ Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.

+ Attend to detail while maintaining a big picture orientation.

+ Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

+ Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.

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

+ Establish and maintain effective working relationships at all levels of the organization.

+ Maintain confidentiality.

+ Maintain currency in laws, rules and regulations related to compliance in assigned functional area.

+ Interpret and apply policies and identify and recommend changes as appropriate.

+ Quantitatively and/or qualitatively process data.

+ Formulate and implement department strategies consistent with long-term company goals.

+ Promote team cohesiveness, cooperation, and effectiveness.

Educational/Previous Experience Requirements

+ Bachelor’s degree (B.A. /B.S.) and a minimum of eight (8) years of experience in Compliance and/or the financial services industry preferred.

~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.