Director, PCG Compliance Policy Management

Job Description

Job Summary

Under administrative supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities compliance to support Private Client Group (PCG) Compliance policy management efforts. Facilitates monthly PCG policy governance meetings. Leads major PCG policy-related initiatives involving multiple stakeholders and leadership across multiple departments, including, but not be limited to annual policy assessments and harmonization of policy requirements with significant PCG impact. Serves as PCG policy contact for the Enterprise Policy Governance Team, regulatory and litigation production requests, and regulatory change management action plans. Supervises others on the PCG Compliance Policy Management Team to perform related assignments.

Essential Duties and Responsibilities

• Ensures appropriate PCG policy creation, management, and maintenance processes are followed.

• Responsible for scheduling, organization, and facilitation of monthly PCG policy governance meetings.

• Plans and executes annual PCG Compliance policy assessments.

• Collaborates with PCG policy subject matter experts (SMEs) to achieve stated objectives.

• Provides critical challenge as part of the PCG policy management process.

• Acts as a PCG policy resource for first-line control design efforts.

• Coordinates the creation and/or updating of PCG policies in response to regulatory or business changes.

• Maintains the PCG policy inventory, including, but not limited to acting as administrator for PCG policy inventory within the policy management system.

• Ensures necessary PCG policy related records are maintained.

• Serves as the primary liaison for Legal Department PCG policy production requests and Regulatory Exams and Inquiry Management (REIM) policy requests/inquiries.

• Performs human resource management activities including identifying performance problems, approving recommendations for remedial action, evaluating performance, and interviewing and selecting staff.

• Coaches and mentors subordinates, identifies training needs and recommends appropriate development programs.

• Plans, assigns, monitors, reviews, evaluates, and leads the work of others.

• Develops and maintains compliance programs, systems, policies and procedures to ensure compliance with federal, state and self-regulatory regulations. Minimizes the firm's risk exposure while balancing business concerns.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced Knowledge of:

• Concepts, practices, and procedures of securities industry compliance.

• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.

• Section 404 of the Sarbanes-Oxley Act of 2002.

• Retail and clearing firm operations.

• Financial markets and products.

• Investment concepts, practices and procedures used in the securities industry.

Advanced Skill in:

• Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.

• Planning and scheduling work to meet organizational and regulatory requirements.

• Investigating compliances issues and irregularities.

• Making rule-based and analytical decisions.

• Preparing oral and/or written reports.

• Project management skills and experience sufficient to successfully complete long and short-term projects.

• Using and building within 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.

• Work independently as well as collaboratively within a team environment to resolve problem.

Educational/Previous Experience Requirements

• Bachelor's Degree (B.A./B.S.). 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.

• Experience with Firm systems, data transformation and control development lifecycle.

Licenses/Certifications

• None Required.

• Industry licenses preferred (e.g. Series 7, 9/10, 24, 65, 66)

• Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.

Education

Work Experience

Certifications

Travel

Workstyle

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.