Raymond James · 1 day ago
IT Compliance Senior Manager
United States
Full-time
Remote
Senior Level, Lead/Staff
$100K/yr - $120K/yr
8+ years expRaymond James is a financial services firm seeking an IT Compliance Senior Manager to support its Information Technology Compliance program. This role involves implementing compliance strategies, conducting risk assessments, and ensuring alignment with regulatory obligations while promoting a culture of compliance within the organization.
BankingFinancial ServicesInformation TechnologyInsuranceWealth Management
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
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
Advanced knowledge of 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
Advanced knowledge of global and domestic regulations governing data privacy, financial services, and IT governance
Advanced knowledge of Enterprise Data Management and Data Loss Prevention (DLP) technologies
Advanced knowledge of principles of banking and finance and securities industry operations
Advanced skill in experience with metrics reporting, scorecards, and dashboards to monitor compliance effectiveness
Advanced skill in planning and scheduling work to meet regulatory organizational and regulatory requirements
Advanced skill in identifying and applying appropriate compliance monitoring procedures and tests
Advanced skill in preparing oral and/or written reports
Advanced skill in investigating compliance issues and irregularities
Advanced skill in making rule-based and analytical decisions
Strong verbal and written communication
Ability to design and execute second-line oversight testing programs for IT controls
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
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
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
Paul Shoukry
Chief Executive Officer
James Sickling
COO - Fixed Income
Recent News
Private Banker International
2026-01-17
2026-01-16
2026-01-16
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