Compliance Manager- Financial Holding Company (Remote Option Available)

Job Summary

Under administrative supervision and with intermittent level of autonomy, uses knowledge and skills obtained through education and experience to support the operation of all compliance functions covering the Financial Holding Company requirements that apply across Raymond James Financial, Inc. and requirements that apply to the Firm's Enterprise Risk Management, Corporate Finance, Human Resources, Corporate Services, and Legal areas. Leads projects, programs or processes with significant business impact involving cross-functional teams. Works with members of the Compliance, Legal and business teams to develop tactical plans for compliance initiatives including monitoring, testing, advisory and data analysis. Provides comprehensive solutions to complex problems or needs. End results are evaluated for achieving goals and objectives. Maintains extensive contact with various business units and departments of Raymond James Financial and its subsidiaries to perform the functions of this job.

Essential Duties and Responsibilities

• Identifies and manages firm-wide regulatory risks associated with FHC and Federal Reserve regulatory requirements.

• Assists management to implement adequate controls and quality assurance processes to detect and address potential compliance problems.

• Develops, reviews, and adjusts the department's procedures to adapt to changing regulatory and business environments.

• Uses data and performance indicators to establish control mechanisms, monitoring, improvement initiatives, and ensures quality standards are consistently attained or exceeded.

• Research compliance issues.

• Develops compliance training programs, including maintaining training records and coordinating training with other compliance activities.

• Directs adjustments to existing programs, policies, and procedures, as required.

• Ensures that compliance activities are commensurate with the level of risk.

• Informs Senior Compliance Management about issues that may involve rule violations or potential liability.

• Develops and maintains compliance policies and procedures.

• Represents Compliance on firm level projects and/or initiatives.

• May make risk-based recommendations to Senior Management using extensive industry knowledge to review products, production, and asset value changes across the firm's business lines.

• Support Regulatory exams and inquiries.

• Performs other duties and responsibilities as assigned.

Qualifications:

Knowledge, Skills, and Abilitie

Knowledge of:

• Federal Reserve Bank Regulations governing Financial Holding Companies and Bank Holding Companies (e.g., Regulation Y, Bank Holding Company Act (Section 3 & 4), and other regulations.

• Rules and regulations with focus on Commercial requirements of the Federal Reserve System, Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); and state banking regulatory agencies.

• Concepts, practices, and procedures of securities industry and/or banking compliance reviews.

• Compliance and legal procedures in the financial services industry.

• 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:

• Identifying and applying appropriate compliance monitoring and testing procedures.

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

• Coordinating complex compliance activities.

• Providing support and guidance for compliance efforts.

• Identifying and implementing controls and quality assurance processes.

• Reviewing materials for compliance with rules and regulations.

• Researching compliance issues.

• Developing compliance training programs.

• Investigating relevant irregularities.

• Making rule-based and analytical decisions.

Ability to:

• Review, analyze and interpret applicability of existing, new, and revised laws, rules, and regulations that apply to Financial Holding Companies and Bank Holding Companies and specific applicability to Raymond James Financial, Inc.

• Partner with other functional areas to accomplish objectives.

• Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.

• Gather information, identify linkages and trends, and apply findings to assignments.

• Interpret and apply securities and/or banking regulations and identify and recommend compliance changes as appropriate.

• Work independently as well as collaboratively within a team environment.

• Establish and maintain effective working relationships at all levels of the organization.

Educational/Previous Experience Requirement

Education/Previous Experience

• 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 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.

Raymond James Guiding Behaviors

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 outcome

• 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