Raymond James Financial, Inc

Director, Compliance IT

Raymond James Financial, Inc • $125K — $150K *
Saint Petersburg, FL 33710In-Person
Finance & Insurance
8 - 10 years of experience
Today
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Job Overview by Ladders

Qualifications

  • Bachelor's Degree in a related discipline required; Master's preferred.
  • 10+ years of Compliance, Legal, Banking, or regulatory experience in financial services.
  • 5+ years of management experience within the financial services sector.
  • Extensive knowledge in securities industry compliance and regulations.
  • Familiarity with the Office of the Comptroller of the Currency (OCC) and SEC regulations.

Responsibilities

  • Oversee the Technology Compliance Program and Governance Framework.
  • Drive development of methodologies for Information Technology Compliance.
  • Advise senior leadership on technology compliance risks and regulations.
  • Conduct compliance risk assessments across various domains including cybersecurity and AI.
  • Develop and implement IT compliance monitoring and testing activities.
  • Lead regulatory change management and assess impacts of new regulations.
  • Collaborate with various departments to ensure compliance and oversight.

Benefits

  • Medical, dental, and vision insurance.
  • Life, critical illness, and accident insurance.
  • Disability benefits.
  • Retirement savings plans.
  • Paid time off including vacation and parental leave.
Full Job Description
Job Description Summary
Uses extensive knowledge and skills obtained through experience, specialized training and/or certification in information technology, data governance, securities and/or banking industry to support the Information Compliance Risk Management (ICRM) Information Technology Compliance program of Raymond James Financial. This role is responsible for implementing and executing the ICRM strategy, governance processes, and overall ICRM program to comply with applicable laws. This role is organized under the Information Compliance Risk Management group as part of the Global Data Privacy and Protection Office and will help support the overall departmental goals and objectives.

Job Description

Essential Duties and Responsibilities

  • Oversees the Technology Compliance Program and Governance Framework.
  • Drives the ongoing development of applicable methodology(s) used across the Information Technology Compliance program to ensure global consistency and scalability.
  • Advises senior leadership on emerging technology compliance risks and regulatory expectations.
  • Conducts compliance risk assessments across technology, cybersecurity, data privacy, AI, cloud, and third-party risk domains.
  • Develops and ensures appropriate execution of IT compliance monitoring and testing activities.
  • Leads regulatory change management and evaluate the impact of new regulatory requirements.
  • Partners closely with Information Technology, Information Security, Privacy, Legal, Enterprise Risk, Internal Audit, and business leadership to ensure regulatory compliance while maintaining independent oversight of first line activities.
  • Performs other duties and responsibilities as assigned.


Knowledge, Skills, and Abilities

Advanced Knowledge of:
  • Concepts, practices, and procedures of securities industry and banking compliance.
  • Information Technology and Information Security controls and regulations
  • Rules and regulations of the Office of the Comptroller of the Currency (OCC), 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:
  • 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 applications 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.
  • Maintain attention to detail while also 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).
  • Work independently as well as collaboratively within a team environment to resolve problems.


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


Education

Work Experience

Certifications

Travel
Less than 25%

Workstyle
Hybrid

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

About Raymond James Financial, Inc

The Raymond James Technology and Communications Investment Banking Group is a committed and thoughtful partner that provides a full range of investment banking services and best practices. The group is comprised of experienced professionals that have extensive investment banking expertise. They leverage the industry expertise of Raymond James' award-winning research department. The group focuses on key sectors within technology and communications including: communications software, communication towers, defense electronics, enterprise software, internet infrastructure services, homeland security, IT services, mobile technology, semiconductors, software-as-a-service, telecommunications equipment, telecommunications infrastructure and support services, and wireless & wireline telecommunications services. They take pride in a client-centric approach to M&A, with focus on delivering independent solutions that creates value for the long term. The outcome of this unique approach may be seen in the successful transactions of their clients, including over 80 public offerings totaling $17 billion and over 85 strategic advisory transactions totaling over $5 billion in value since 1998.

Raymond James Financial, Inc Careers

Join the vibrant team at Raymond James Financial, Inc, a leading financial services company where innovation, leadership, and professional growth are at the forefront of our operations. As a hub of diversity and expertise, Raymond James offers unparalleled job opportunities that propel your career to new heights. Work You’ll Do At Raymond James Financial, Inc, you’ll collaborate with some of the most talented professionals in the financial industry. Our team is dedicated to providing strategic financial solutions and advice to our clients, helping them achieve their financial goals while fostering economic growth. With a culture rooted in leadership and diversity training, Raymond James is the perfect place to enhance your skills and thrive professionally. Join our market-leading team to assist a diverse range of clients, from individuals to large corporations, in navigating their financial planning with precision and innovative strategies. Lead in a role where your expertise directly influences the success and stability of our clients' financial futures. Work with a dynamic team of advisors and experts who are committed to pushing the boundaries of the financial sector through continuous innovation and exceptional client service. Raymond James Financial, Inc Job Opportunities Introducing the Raymond James Career Development Program We are committed to nurturing talent through our comprehensive career development program designed to provide every employee—from interns to senior leaders—with the tools and training necessary for success. Whether you’re just starting out with an internship or you’re a seasoned professional, Raymond James offers career paths that align with your ambitions and skills. Do Innovative Work Join a company where innovation is part of the daily routine. At Raymond James Financial, Inc, you’ll engage with cutting-edge financial tools and resources that keep you ahead in the industry. Our commitment to technology and innovation ensures that we stay at the forefront of financial services. Be Part of a Great Team Experience a collaborative environment where teamwork and networking are encouraged. Our inclusive culture supports diversity and offers benefits that ensure the well-being of all team members. At Raymond James, you’re not just an employee; you’re part of a family that values your unique contributions and supports your professional journey. Future-Proof Your Career Advance your career with Raymond James, where opportunities for growth are abundant. Benefit from our industry-leading training programs and gain certifications that will elevate your professional standing. With a focus on career longevity and satisfaction, Raymond James ensures that your professional journey is as rewarding as it is successful. Explore Discover the various positions available at Raymond James Financial, Inc that match your skills and interests. We are continuously hiring across multiple disciplines, eager to welcome passionate, curious, and solution-driven team players. Stay Connected Join Our Team Search open positions at Raymond James Financial, Inc and find the perfect match for your career aspirations. Explore a range of opportunities from financial advising to corporate roles that align with your professional skills and goals. Keep Up to Date Stay informed with the latest career tips, insider perspectives, and industry-leading insights—all from the professionals who thrive at Raymond James. Job Alert Emails Customize your subscription to receive job alerts, latest news, and insider tips tailored to your preferences. Discover the exciting and rewarding career opportunities waiting for you at Raymond James Financial, Inc. Join Raymond James Financial, Inc today and be part of a company that values innovation, leadership, and professional growth. Your future in the financial industry starts here.
Learn more about Raymond James Financial, Inc
Size
15,000 employees
Market Cap
$22.6 billion
Industry
Finance & Insurance
Net Income
$862 million
5 Year Trend
+11.6%
Revenue
$8.3 billion
NASDAQ
RJF
* Ladders Estimates

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