Raymond James Financial, Inc

Director, PCG Compliance Testing

Raymond James Financial, Inc • $120K — $145K *
US-AnywhereRemote in United States
Finance & Insurance
8 - 10 years of experience
Today
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Job Overview by Ladders

Qualifications

  • Bachelor's Degree in a related discipline; Master's preferred.
  • 10 years of Compliance, Legal, Banking, and/or regulatory experience in financial services.
  • 5 years of management experience in the financial services sector.
  • Deep understanding of compliance testing or audit practices.
  • Extensive knowledge of securities industry regulations and financial markets.

Responsibilities

  • Supervise compliance tests and issue final reports on findings.
  • Manage changes to the Compliance Testing Framework and train associates.
  • Oversee multiple testing engagements simultaneously from planning to completion.
  • Collaborate across teams to uphold a risk-based Compliance Testing program.
  • Communicate findings and action plans to management on compliance controls.
  • Manage annual and quarterly updates to the testing plan based on identified changes.
  • Coach and mentor less experienced compliance specialists.

Benefits

  • Hybrid work-style options.
  • Medical, dental, and vision coverage.
  • Life and disability insurance.
  • Retirement savings plans.
  • Paid time off including vacation, holidays, and sick leave.
Full Job Description
Job Description Summary
Under intermittent supervision, uses extensive knowledge and skills obtained through education and experience in securities and/or the banking industry to ensure firm policies and procedures are designed and operating as intended and commensurate with the level of risk being mitigated. Oversees a team of testers performing large or multiple testing projects with significant scope and impact for the Private Client Group areas (i.e., PCG). Provides comprehensive solutions to vastly complex problems. Maintains extensive contact with internal customers to identify, research, analyze and resolve very complex issues. Must have knowledge of compliance testing or audit practices and a deep understanding of a control's framework within a complex environment.

Job Description

Essential Duties and Responsibilities

  • Supervises compliance tests by reviewing applicable regulations and firm policies/procedures, conducting interviews with key contacts, conducting test execution, identifying issues, and issuing final reports.
  • Manages enhancements and changes to the Compliance Testing Framework and provides training and guidance to Compliance Testing associates on key risks, audit methodologies, and testing skills.
  • Oversees multiple testing engagements concurrently from planning through reporting and produces quality deliverables.
  • Collaborates across Compliance teams to maintain a risk-based Compliance Testing program in accordance with the program manual.
  • Ensures the finalization of test issues and action plans, communicates test findings to management in the design and effectiveness of compliance controls.
  • Identifies changes and assist with managing the execution of annual and quarterly updates to the testing plan.
  • Possesses strong project management and interpersonal skills, makes sound decisions, exhibiting initiative and intuitive thinking.
  • Coaches, trains, and mentors less experienced Compliance Specialists.
  • Directs compliance associates including potentially assisting in the talent selection process. Reviews the policies, procedures, and test findings produced by other compliance associates.
  • Ensures that compliance activities are commensurate with the level of risk being mitigated.
  • Researches compliance program components. Makes risk-based recommendations to management using industry knowledge and subject matter expertise.
  • Leads reporting of compliance assurance activities including program status, plans and activities to compliance and business management and relevant committees.
  • Plays role of point of contact for all requests for assurance regulatory exams and internal audits.
  • Prepares and delivers written and oral presentations to management.
  • Establishes and maintains strong relationships with management.
  • Uses communication skills to influence a wide range of internal audiences.
  • Possess project management skills.


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.
  • 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 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.
  • Attention 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.
  • 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.

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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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