Compliance Manager – RJB – Raymond James Financial – Saint Petersburg, FL

Under limited direction, uses extensive knowledge and skills obtained through education and experience in the banking and financial services industry to oversee and manage aspects of the following RJ Bank’s compliance program activities, including regulatory risk assessments, testing and monitoring, metrics and reporting, training, issues management, policy governance, regulatory change, and deposit compliance. May work independently on complex assignments and projects that are broad in nature. Ability to conduct independent regulatory research and summarize results into easily understandable conclusions. Has ability to identify solutions to complex business challenges. Skill to develop strong rapport with business counterparts and colleagues, and provide advisory services on a wide variety of bank topics.

Essential Duties and Responsibilities:

• Oversees elements of the RJ Bank compliance program(s) to ensure regulatory requirements are addressed by the business processes.
• Review on policies, procedures, test findings, and action plans produced by other associates for completeness and accuracy.
• Excellent written and verbal communication and presentation skills are required. Experience in reviewing and editing written materials including policies, procedures, presentations, and testing reports.
• Ability to perform risk-based compliance testing.
• Ability to determine matters requiring escalation to RJ Bank compliance management and does so with the correct level of urgency.
• Assists management to implement appropriate controls to detect and address potential compliance problems.
• Develops compliance training, including maintaining training records and coordinating training with other teams and compliance activities.
• Reports compliance program status and activities to compliance and business management.
• Assists with regulatory examinations and audits, ensuring that requested information and reports are provided.
• Works with business to assess and implement new Bank products, services, technologies and initiatives.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:
Advanced knowledge of:

• Concepts, practices and procedures of the banking and financial services industry
• Rules and regulations of the Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Federal Reserve System; and state banking regulatory agencies.
• Fundamental banking concepts, practices and procedures used in the financial services industry.
• Principles of banking and finance and securities industry operations.
• Financial markets and products.

Skill in:

• Integrating and aligning compliance processes and procedures with business processes.
• Coordinating complex compliance activities.
• Reviewing materials for compliance with rules and regulations.
• Reviewing and providing feedback regarding others associates’ work.
• Researching regulatory and compliance topics.
• Conducting compliance testing and monitoring.
• Developing compliance training courses.
• Acquiring information and preparing oral and written reports.
• Preparing and delivering written and oral presentations.
• Investigating compliance irregularities.
• Making rule and risk-based analytical decisions.
• Operating standard office equipment and using required software applications.

Ability to:

• 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.
• Gather information, identify connections and trends, and apply findings to assignments.
• Interpret and apply banking regulations to identify and recommend changes as appropriate.
• 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, with all organizational levels.
• Work independently as well as collaboratively within a team environment.
• Provide a high level of customer service.
• Establish and maintain effective working relationships at all levels of the organization.
• Maintain confidentiality.
• Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance.

Educational/Previous Experience Requirements:

• Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of six (6) 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:

• 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