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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.

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.

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.