Raymond James · 13 hours ago
Director, Enterprise Electronic Trading and Controls Compliance
St Petersburg, Florida - United States
Full-time
Hybrid
Senior Level, Lead/Staff
$130K/yr - $150K/yr
10+ years expRaymond James is a financial services firm that is seeking a Director for their Enterprise Electronic Trading and Controls Compliance. This role involves leading the design and implementation of compliance programs for electronic trading, supervising compliance activities, and managing cross-functional teams to ensure adherence to regulatory requirements.
BankingFinancial ServicesInformation TechnologyInsuranceWealth Management
Responsibilities
Develops and maintains compliance programs, systems, policies and procedures to ensure compliance with electronic trading and controls regulations in the U.S
Organizes and facilitates the enterprise Electronic Trading and Controls Committee on a quarterly basis
Designs and executes electronic trading and controls monitoring activities on a recurring frequency
Works with RJF Compliance Pillars to appropriately ingest Market Access risks, obligations, and to develop KRIs
Uses data and performance indicators to establish control mechanisms and other improvement initiatives, and ensures quality standards are consistently attained or exceeded related to Market Access
Works with the Business Unit Compliance teams to develop, review, and assist in adjusting applicable department supervisory procedures to adapt to changing regulatory matters related to Market Access
Establishes program requirements for international subsidiaries to provide reporting to RJF
Establishes required enterprise electronic trading and controls compliance training to comply with regulatory requirements/expectations
Leads and manages all aspects of large, complex projects through their entire project lifecycle (initiation, planning, execution, closure)
Reviews electronic trading compliance and risk management controls and recommends appropriate changes, as required
Coordinates the preparation and assists applicable U.S. businesses in completing the annual FINRA Market Access 15c3-5 CEO certification
Plans, assigns, monitors, reviews, evaluates, and leads the work of others
Coaches and mentors subordinate, identifies training needs and recommends appropriate development programs
May oversee compliance exception reporting processes and take appropriate action, as required
May perform human resource management activities, including identifying performance problems and approving recommendations for remedial action; evaluating performance; and interviewing and selecting staff
Continually evaluates the department structure and strategic plan, considering future growth. Promotes overall efficiency while maintaining a commitment to compliance standards and excellent service
Ensures processes and procedures support efficient and timely workflow
Performs other duties and responsibilities as assigned
Qualification
Required
Bachelor's Degree (B.A./B.S.) in a related discipline required with a Master's degree preferred
Minimum of ten (10) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry
Minimum five (5) years management experience within the financial services industry
Advanced Knowledge of concepts, practices, and procedures of securities industry compliance
Advanced Knowledge of rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies
Advanced Knowledge of Section 404 of the Sarbanes-Oxley Act of 2002
Advanced Knowledge of retail and clearing firm operations
Advanced Knowledge of financial markets and products
Advanced Knowledge of investment concepts, practices and procedures used in the securities industry
Advanced Skill in administering regulatory notifications and filings
Advanced Skill in planning and scheduling work to meet regulatory organizational and regulatory requirements
Advanced Skill in investigating compliance issues and irregularities
Advanced Skill in making rule-based and analytical decisions
Advanced Skill in identifying and applying appropriate compliance monitoring procedures and tests
Advanced Skill in written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally
Advanced Skill in preparing oral and/or written reports
Advanced Skill in project management skills and experience sufficient to successfully complete long and short-term projects
Advanced Skill in operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases
Ability to work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities
Ability to attend to detail while maintaining a big picture orientation
Ability to use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives
Ability to establish and communicate clear directions and priorities
Ability to gather information, identify linkages and trends, and apply findings to operations
Ability to maintain currency in laws, rules and regulations related to compliance in assigned functional area(s)
Ability to plan, assign, monitor, review, evaluate and lead the work of others, coach, and mentor others
Ability to manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates
Ability to work independently as well as collaboratively within a team environment to resolve problems
Preferred
Master's degree 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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