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Essential Duties and Responsibilities

+ Maintains industry knowledge with global privacy laws, internal policies and procedures, and industry best practices.

+ Manages and supports the Incident Response team with the processing and remediation of potential data privacy incidents reported to Raymond James Incident Management team.

+ Serves as a team leader for the Incident Response team, ensuring compliance with Regulatory obligations.

+ Serves as a team lead across departments for privacy-related projects and initiatives.

+ Collaborates with business and technology partners to identify and address privacy-related compliance gaps or areas of privacy risk, translate, and write privacy requirements into business requirements, oversee privacy-related initiatives and projects.

+ Develops and maintains privacy policies, standards, and procedures for identifying, reporting, and resolving privacy risks.

+ Manages incoming privacy incidents reviews and if necessary, performs privacy risk assessments on third-party suppliers.

+ Work with business partners to identify and address compliance gaps or areas of privacy risk.

+ Recommends process improvements for quality assurance and document metrics to track privacy program effectiveness.

+ Responds to and assists with privacy-related inquiries.

+ Advises Senior Compliance Management on issues that involve possible rule violations and potential liability.

+ Reports compliance program status and activities to compliance and business management personnel

+ Prepares and delivers written and oral presentations to management.

+ Mentors associates with less experience.

+ Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

+ Knowledge of laws and regulations, and key concepts and attributes of a mature privacy program

+ Concepts, practices, and procedures of compliance and risk management, with an emphasis on privacy and data protection

+ Knowledge of the securities industry and/or banking compliance.

+ Privacy/GRC tools such as OneTrust and IBM Open Pages.

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+ Rules and regulations of: Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; state banking regulatory agencies.

+ Investment concepts, practices and procedures used in the securities industry.

+ Principles of banking and finance and securities industry operations.

+ Financial markets and products.

Skill in:

+ Administering regulatory notification and filings.

+ Reviewing materials for compliance with rules and regulations.

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

+ Coordinating complex compliance activities.

+ Planning and scheduling work to meet regulatory organizational and regulatory requirements.

+ Identifying and applying appropriate compliance monitoring procedures and tests.

+ Preparing oral and/or written reports.

+ Investigating compliances issues and irregularities.

+ Making rule-based and analytical decisions.

+ Strong verbal and written communication.

+ Operating standard office equipment and using required software applications.

Ability to:

+ Work independently while also maintaining extensive contact with relevant internal stakeholders.

+ Handle difficult assignments that require originality and ingenuity.

+ Provide comprehensive solutions to complex problems.

+ Coach and mentor others.

+ 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 in writing, at 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 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.