Compliance Director - Raymond James Bank (RJB) Private Client Banking Compliance - 2203369

Description

Job Summary

Under administrative supervision, uses extensive knowledge and skills in the Banking industry obtained through education, experience, specialized training and/or certification to participate in the design, implementation and supervision of a comprehensive compliance program covering the Raymond James Bank Compliance Private Client Banking business. Leads major projects, programs, or processes with significant business impact. Supervises others in performing difficult assignments that are broad in nature. Influences strategic direction and develops tactical plans for complex assignments. Extensive contact with business partners and regulatory agencies is required to identify, research, analyze, and resolve complex issues.

Essential Duties and Responsibilities

• Participates in developing and maintaining compliance programs, systems, policies, and procedures to ensure compliance with federal, state, and self-regulatory regulations, and to minimize the firm’s risk exposure while balancing business concerns.
• Maintains the required compliance systems for the firm while fostering positive business relationships with department first line and other control partners that support RJB.
• Serves as a primary liaison between the organization and industry regulators by responding to inquiries, audits, complaints, and investigations.
• Reviews compliance and risk management controls, recommends appropriate changes, and identify compliance issues by maintaining proficient knowledge of applicable statutory regulations interpretations
• Serves as expert on consumer compliance regulations and specific expertise related to fair lending and fair banking regulations.
• May oversee compliance exception reporting processes and take appropriate action, as required.
• May draft and/or update policies and procedures manuals required by the Federal Reserve Board (FRB), FDIC, and state regulations if applicable.
• Continually evaluates department structure and strategic plan, including future growth as needed, to promote overall efficiency while maintaining a commitment to compliance standards and excellent service.
• Ensures processes and procedures support efficient and timely workflow.
• Plans, assigns, monitors, reviews, evaluations and leads the work of others.
• Coaches and mentors subordinate, identifies training needs and recommends appropriate development programs.
• Performs other duties and responsibilities as assigned.

Qualifications

Knowledge, Skills, and Abilities

Advanced Knowledge of:

• Concepts, practices and procedures of banking and lending compliance.
• Consumer banking rules and regulations of the Federal Reserve System; and/or Federal Deposit Insurance Corporation (FDIC); and state banking regulatory agencies.
• Financial markets and products.
• Investment concepts, practices and procedures used in the securities industry.

Skill in:

• Planning and scheduling work to meet regulatory organizational and regulatory requirements.
• Investigating compliances issues and irregularities.
• Making rule-based and analytical decisions.
• Identifying and applying appropriate compliance monitoring procedures and tests.
• Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.
• Preparing oral and/or written reports.
• 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:

• Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
• Attend to detail while maintaining a big picture orientation.
• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.
• Establish and communicate clear directions and priorities.
• Gather information, identify linkages and trends, and apply findings to operations.
• Maintain currency in laws, rules and regulations related to compliance in assigned functional area (s).
• Plan, assign, monitor, review, evaluate and lead the work of others, coach, and mentor others.
• Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates.
• Work independently as well as collaboratively within a team environment to resolve problem.

Educational/Previous Experience Requirements

• Bachelor’s Degree (B.A./B.S.) in a related discipline required with a Master’s degree preferred. Minimum of ten (10) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry.
• Minimum five (5) years management experience within the financial services industry.

~or~

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

• None Required.
• Appropriate series license(s) for assigned functional area preferred.
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Raymond James Guiding Behaviors

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

Job Compliance

Primary Location US-FL-St. Petersburg-Saint Petersburg

Organization RJ Bank

Schedule Full-time

Shift Day Job

Travel Yes, 20 % of the Time