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Raymond James · 1 day ago

IT Compliance Senior Manager

St. Petersburg, FL

Full-time

Hybrid

Senior Level, Lead/Staff

8+ years exp

Raymond James is a financial services firm seeking an IT Compliance Senior Manager to support their Information Technology Compliance program. This role involves implementing compliance strategies, conducting risk assessments, and ensuring adherence to regulatory obligations within the IT domain.

BankingFinancial ServicesInformation TechnologyInsuranceWealth Management

Growth Opportunities

Responsibilities

Helps drive Compliance strategic direction toward Information Technology, Information Security, Data governance, protection, and management

Perform risk assessments and monitoring activities to assess the design, completeness, and effectiveness of regulatory obligations

Implement formal testing protocols for key risks and controls

Monitor regulatory developments and assess applicability to IT and maintain a centralized inventory of regulatory obligations and dependencies

Develop, maintain, and enforce IT compliance policies and standards and ensure alignment with enterprise governance structures

Maintain policy mappings to regulatory obligations and control frameworks such as NIST, CRI, and FFIEC

Promote a culture of compliance through ongoing education and conduct process-specific training for escalated items

Report metrics to regional and enterprise committees for visibility and strategic decision-making

Prepare for and respond to regulatory exams and inquiries and coordinate with internal audit and external regulators

Coordinate with business lines and risk stakeholders to ensure consistent oversight of regulatory obligations

Provide strategic guidance to IT teams for implementing regulatory changes and mitigating emerging risks

Performs other duties and responsibilities as assigned

Qualification

IT ComplianceRegulatory knowledgeData governanceRisk assessmentMetrics reportingData Loss PreventionCompliance monitoringCommunicationTeam collaborationDetail-oriented

Required

Bachelor's degree (B.A. /B.S.) and a minimum of eight (8) years of experience in Compliance and/or the financial services industry preferred

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

Rules and regulations of: Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; 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; state banking regulatory agencies

Deep understanding of global and domestic regulations governing data privacy, financial services, and IT governance

Knowledge of Enterprise Data Management and Data Loss Prevention (DLP) technologies

Principles of banking and finance and securities industry operations

Experience with metrics reporting, scorecards, and dashboards to monitor compliance effectiveness

Planning and scheduling work to meet regulatory organizational and regulatory requirements

Identifying and applying appropriate compliance monitoring procedures and tests

Preparing oral and/or written reports

Investigating compliance issues and irregularities

Making rule-based and analytical decisions

Strong verbal and written communication

Design and execute second-line oversight testing programs for IT controls

Partner with other functional areas to accomplish objectives

Facilitate meetings ensuring that all viewpoints, ideas and problems are addressed

Attend to detail while maintaining a big picture orientation

Work under pressure on multiple tasks concurrently, and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities

Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels

Work independently as well as collaboratively within a team environment

Establish and maintain effective working relationships

Maintain confidentiality

Maintain currency in laws, rules and regulations related to compliance in assigned functional area

Interpret and apply policies and identify and recommend changes as appropriate