Raymond James · 1 day ago
Senior Manager, PCG Surveillance Compliance
St. Petersburg, FL
Full-time
Hybrid
Senior Level, Lead/Staff
8+ years expRaymond James is a leading financial services firm, and they are seeking a Senior Manager for their PCG Surveillance Compliance team. This role is responsible for driving the success of the Compliance Surveillance program by overseeing business management functions, developing operational reporting, and implementing process improvements.
BankingFinancial ServicesInformation TechnologyInsuranceWealth Management
Responsibilities
Design and implement workflows and processes derived from data provided by compliance teams to support enterprise-wide objectives
Develop and maintain project tracking frameworks and templates for PCG Compliance verticals to ensure consistency and efficiency
Create dashboards and reporting solutions that summarize key metrics and trends for leadership review
Performs human resources management activities including identifying performance problems, seeking guidance for remedial action, reviewing performance, as well as participating in interviewing and selecting staff
Plans, assigns, monitors, reviews, evaluates, and leads the work of others
Coaches and mentors subordinate, identifies training needs, and recommends appropriate development programs
Partners with the Data Analytics team to create reports and other visuals from output of the analytics program
Oversees compliance exception reporting processes and approves corrective actions
Ensures effective coordination within assigned work group and with other work groups
Identifies and recommends solutions to automate and streamline functions that improve the operational efficiency of compliance systems
Serves as a compliance liaison on various committees and projects that represent the department’s interest(s)
Attends and delivers presentations at industry conferences
Periodically reports on compliance and operational issues
Assists in preparing the operational budgets for assigned functional area
Balances conflicting resource and priority demands
Coordinates team events and meetings
Assists department manager with preparation of key governance, working group and leadership meetings
Performs other duties and responsibilities as assigned
Qualification
Required
Bachelor's Degree (B.A./B.S.) in a related discipline and a minimum of eight (8) years of experience in the financial services industry, compliance, or risk management
Any equivalent combination of experience, education, and/or training approved by Human Resources
Advanced Knowledge of concepts, practices, and procedures of securities industry and/or banking compliance reviews
Advanced Knowledge of rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies
Advanced Knowledge of fundamental investment concepts, practices and procedures used in the securities industry
Advanced Knowledge of principles of banking and finance and securities industry operations
Advanced Knowledge of financial markets and products
Advanced Skill in planning and scheduling work to meet regulatory organizational and regulatory requirements
Advanced Skill in preparing oral and/or written reports
Advanced Skill in making rule-based and analytical decisions
Strong verbal and written communication
Advanced Skill in operating standard office equipment and using required software applications
Ability to manage, coach and mentor others
Ability to partner with other functional areas to accomplish objectives
Ability to facilitate meetings ensuring that all viewpoints, ideas, and problems are addressed
Ability to attend to detail while maintaining a big picture orientation
Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities
Ability to use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels
Ability to work independently as well as collaboratively within a team environment
Ability to establish and maintain effective working relationships at all levels of the organization
Ability to maintain confidentiality
Ability to maintain currency in laws, rules and regulations related to compliance in assigned functional area
Ability to interpret and apply policies and identify and recommend changes as appropriate
Ability to quantitatively and/or qualitatively process data
Ability to formulate and implement department strategies consistent with long-term company goals
Preferred
Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred
Company
Raymond James
Raymond James provides a range of investment banking services focused on the telecommunications and communications sectors.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
$1.5B2025-09-09Post Ipo Debt· $1.5B
1983-07-01IPO
Leadership Team
James Sickling
COO - Fixed Income
Eric Lauzon
SVP Growth & Development, Private Client Group
Recent News
TradingView
2025-12-16
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