Compliance Oversight Senior Manager

Compliance Manager

Under intermittent supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and / or certification in the securities or banking industry compliance to administer and manage an assigned compliance function. Works within a specified Business Unit to lead major projects, programs, or processes with significant business impact. Influences strategic direction, develops tactical plans, and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalated problems or needs. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze, and resolve complex issues.

Essential Duties and Responsibilities

• Establishes objectives and develops processes and procedures that adhere to all regulatory requirements.
• Performs human resources management activities including identifying performance problems, seeking guidance for remedial action, reviewing performance, as well as participating in interviewing and selecting staff.
• Plans, assigns, monitors, reviews, evaluates, and leads the work of others.
• Coaches and mentors subordinate, identifies training needs, and recommends appropriate development programs.
• Works in conjunction with management to develop and implement continuing education and training programs for the department.
• Effectively communicates and presents risk-related findings to senior leadership, clearly articulating potential impacts and recommended actions.
• Serves as a leader for surveillance staff.
• Oversees compliance exception reporting processes and approves corrective actions.
• Schedules and oversees audit processes, including scheduling, training, and reviewing audit results.
• Ensures effective coordination within assigned work group and with other work groups.
• Identifies and recommends solutions to automate and streamline functions that improve the operational efficiency of compliance systems.
• Serves as a compliance liaison on various committees and projects that represent the department's interest(s).
• Research regulatory updates to identify linkages, report trends and apply findings.
• Periodically reports on compliance and operational issues.
• Balances conflicting resource and priority demands.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced Knowledge of :

Advanced Skill in :

Ability to :

Educational / Previous Experience Requirements

Licenses / Certifications

Travel Less than 25%

Workstyle Hybrid

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence, and a conservative, long-term view. We expect our associates at all levels to : Grow professionally and inspire others to do the same; Work with and through others to achieve desired outcomes; Make prompt, pragmatic choices and act with the client in mind; Take ownership and hold themselves and others accountable for delivering results that matter; Contribute to the continuous evolution of the firm.

At Raymond James as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.