Compliance Sr. Manager, Enterprise Policy Governance

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.

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.