• Compliance Manager, Control Testing and Assurance

    Raymond James Financial, Inc. (St. Petersburg, FL)


    Essential Duties and Responsibilities

    + Leads and executes compliance testing to assess the design and effectiveness of controls related to Privacy, Records Governance, and IT compliance programs.

    + Researches, interprets, and applies regulatory requirements to test objectives and business processes.

    + Develops and maintains testing documentation, including planning, fieldwork, reporting, and remediation tracking.

    + Identifies control gaps and recommends enhancements to policies, procedures, and systems in collaboration with SMEs.

    + Validates remediation efforts and ensure timely closure of compliance issues.

    + Ensures testing deliverables meet Quality Assurance standards and align with the Compliance Testing Methodology.

    + Manages multiple testing engagements and acts as a liaison between business units and Compliance Risk Management.

    + Collaborates cross-functionally with Legal, Risk, IT, and other departments to strengthen internal controls.

    + Supports automation initiatives to improve testing efficiency and control coverage.

    + Contributes to updates of the annual and quarterly ICRMA testing plan based on regulatory and business changes.

    + Prepares and delivers clear, concise reports and presentations to senior leadership.

    + Stays current on regulatory trends, industry best practices, and emerging risks.

     

    Knowledge, Skills, and Abilities

    Required Skills and Qualifications:

    + Proven expertise in compliance testing, regulatory research, and control evaluation.

    + Strong analytical, investigative, and problem-solving skills.

    + Excellent written and verbal communication skills, with the ability to influence and collaborate across all levels.

    + Proficiency in Microsoft Office Suite and GRC platforms (e.g., OneTrust, ServiceNow).

    + Ability to manage multiple priorities in a fast-paced, evolving environment.

    + Familiarity with regulatory frameworks such as GDPR, CCPA/CPRA, ISO, NIST, and sector-specific regulations (e.g., SEC, FINRA, OCC).

    + Understanding of KRIs, KPIs, and the distinctions between policies, standards, procedures, and guidelines.

    Educational/Previous Experience Requirements

    + Bachelor’s degree (B.A. /B.S.) and a minimum of six (6) 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.