Sr. Manager, Compliance RJ Trust

Raymond James Financial, Inc.; United States; Remote; USD 100,000 - 120,000; Full time

Job summary

A leading financial services firm is seeking a Sr. Manager, Compliance RJ Trust to oversee compliance programs and manage a team. This role involves strategic planning, regulatory compliance, and mentoring staff. The ideal candidate will have extensive experience in compliance within the financial services sector and a strong ability to communicate effectively with various stakeholders.

Qualifications

• Minimum of eight years of experience in Compliance and/or the financial services industry.
• Ability to manage, coach and mentor others.

Responsibilities

• Provides compliance support for RJTNA and RJTCNH business units.
• Plans, assigns, monitors, reviews, evaluates, and leads the work of others.
• Oversees compliance exception reporting processes and approves corrective actions.

Skills

Compliance

Communication

Leadership

Education

Bachelor’s degree (B.A. /B.S.)

Job description

Job Title: Sr. Manager, Compliance RJ Trust

Location: Remote, Colorado - United States

Type: Full time

Posted: Yesterday

Job Requisition ID: R-0004412

Job Description

This role involves designing, implementing, and supervising a comprehensive compliance program for Raymond James Trust, N.A., and Raymond James Trust Company of New Hampshire. The Sr. Manager leads major projects with significant business impact, influences strategic direction, and develops tactical plans. The role requires extensive contact with internal teams and regulatory agencies to resolve complex issues.

Essential Duties and Responsibilities

• Provide compliance support for the RJTNA and RJTCNH business units.
• Manage human resources activities including performance reviews, coaching, training, and staff hiring within the compliance department.
• Lead, evaluate, and develop team members.
• Develop and implement training programs for compliance staff.
• Oversee compliance exception reporting and approve corrective actions.
• Coordinate within and across work groups to ensure compliance and operational efficiency.
• Research regulatory updates, report trends, and recommend improvements.
• Draft and update policies as required by regulatory bodies.
• Report on compliance issues periodically.
• Balance resource and priority demands effectively.
• Perform other duties as assigned.

Knowledge, Skills, and Abilities

Advanced knowledge of:

• Fiduciary rules and regulations of OCC and New Hampshire Banking Department.
• Compliance and legal procedures in trust and asset management.

Advanced skills in:

• Planning, scheduling, and compliance monitoring.
• Reporting, investigating compliance issues, and decision-making.
• Effective communication, both oral and written.

Abilities to:

• Manage, coach, and mentor teams.
• Partner across functions to meet objectives.
• Facilitate meetings and address diverse viewpoints.
• Work under pressure, maintain confidentiality, and interpret policies.
• Analyze data and develop department strategies aligned with company goals.

Educational/Experience Requirements

• Bachelor’s degree (B.A. / B.S.) and at least 8 years of experience in compliance or financial services.
• Or equivalent experience, education, and training approved by HR.

Licenses/Certifications

• None required; industry-specific certifications are preferred.

Additional Information

Salary Range: $100,000 - $120,000

Travel: Less than 25%

Workstyle: Remote

Raymond James values professional growth, collaboration, integrity, and client-first service. We are committed to diversity and equal opportunity employment.