Director, IT Compliance & Regulatory Risk

Raymond James Financial, Inc.; Saint Petersburg (FL); On-site; USD 150,000 - 190,000; Full time

Job summary

Raymond James Financial, Inc. seeks a senior Technology Compliance leader to oversee the Compliance Program and Governance Framework for IT.

The role drives global methodology development to ensure consistency across technology controls, cybersecurity, data privacy, and third-party risk. You will advise senior leadership on evolving regulatory expectations and lead change management across regulatory requirements.

Qualifications

• Ten years of Compliance, Legal, Banking and/or regulatory experience in financial services.
• Minimum five years of management experience in financial services.
• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Responsibilities

• Oversee Technology Compliance Program and Governance Framework.
• Develop methodology across IT Compliance for global consistency and scalability.
• Advise senior leadership on technology compliance risks and regulatory expectations.
• Conduct compliance risk assessments across technology, cybersecurity, data privacy, AI, cloud, and third-party risk domains.
• Develop and ensure execution of IT compliance monitoring and testing activities.
• Lead regulatory change management and assess impact of new regulatory requirements.
• Partner with IT, Security, Privacy, Legal, Risk, Internal Audit, and business leadership to ensure compliance while maintaining independent oversight.
• Perform other duties as assigned.

Skills

Securities compliance

Information Security controls

Regulatory requirements (OCC, SEC, FIN

Sarbanes-Oxley 404

Financial markets knowledge

Investment concepts

Education

Bachelor’s degree in related discipline

Master’s degree preferred

Job description

Raymond James Financial, Inc. seeks a senior Technology Compliance leader to oversee the Compliance Program and Governance Framework for IT.

The role drives global methodology development to ensure consistency across technology controls, cybersecurity, data privacy, and third-party risk. You will advise senior leadership on evolving regulatory expectations and lead change management across regulatory requirements.