Senior IT Compliance Manager | Regulatory Risk & Oversight

100 Raymond James & Associates, Inc.; Saint Petersburg (FL); On-site; USD 120,000 - 170,000; Full time

Job summary

Raymond James seeks an experienced Information Compliance Risk Management leader to support IT compliance programs with independence and strategic influence in Florida. You will drive major initiatives, coordinate regulatory assessments, and monitor IT issues with substantial latitude for decision-making.

Responsibilities include policy reviews, communications with regulators, and developing metrics to measure compliance performance.

Qualifications

• Bachelor’s degree and minimum eight years of experience in Compliance and/or financial services preferred.
• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Responsibilities

• Executes regulatory assessments both annual and targeted.
• Executes ongoing monitoring of IT issue progress and changes, escalates as needed.
• Participate in annual review of IT policies and standards and recommend changes to Senior Management.
• Serves as a resource on compliance issues to clients and staff.
• Lead the ongoing development of IT Compliance metrics and reporting.

Skills

Regulatory compliance

IT compliance controls

Securities industry knowledge

Communication skills

Project management

Education

Bachelor’s degree (B.A./B.S.)

Tools

Office software

Job description

Raymond James seeks an experienced Information Compliance Risk Management leader to support IT compliance programs with independence and strategic influence in Florida. You will drive major initiatives, coordinate regulatory assessments, and monitor IT issues with substantial latitude for decision-making.

Responsibilities include policy reviews, communications with regulators, and developing metrics to measure compliance performance.