Raymond James · 10 hours ago
Compliance Manager
Pittsburgh, Pennsylvania - United States
Full-time
Onsite
Senior Level
6+ years expRaymond James is a financial services firm that is seeking a Compliance Manager to oversee compliance programs and ensure alignment with business processes. The role involves monitoring operational risk exposure, developing compliance policies, and providing guidance on compliance issues within the organization.
BankingFinancial ServicesInformation TechnologyInsuranceWealth Management
Responsibilities
Oversees the compliance program(s) for an assigned business entity to ensure compliance processes and procedures are integrated and aligned with business processes
Coaches, trains, and mentors less experienced Compliance Specialists
May serve as a “team lead” for more junior compliance associates including potentially assisting in the talent selection process. Reviews the policies, procedures, and test findings produced by other compliance associates
Directs adjustments to existing programs, policies, and procedures, as required
Ensures that compliance activities are commensurate with the level of risk being mitigated
Provides escalated support and guidance to compliance efforts in assigned business entity
Informs Senior Compliance Management about issues that may involve rule violations or potential liability
Assists management to implement adequate controls and quality assurance processes to detect and address potential compliance problems
Research compliance issues
Develops and maintains compliance policies and procedures
Develops compliance training programs, including maintaining training records and coordinating training with other compliance activities
Reports compliance program status and activities to compliance and business management
Manages external compliance examinations, ensuring that requested information and reports are provided
May make risk-based recommendations to Senior Management using extensive industry knowledge to review products, production, and asset value changes across the firm’s business lines
Routinely interacts with Executive Leadership, TSC Senior Management, Compliance Directors, Compliance Senior Managers, Compliance Managers and associates, Internal Audit, and Federal Regulators
Prepares and delivers written and oral presentations to management
Performs other duties and responsibilities as assigned
Qualification
Required
Bachelor's degree (B.A. /B.S.) and a minimum of six (6) 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
Knowledge of concepts, practices, and procedures of banking compliance reviews
Knowledge of rules and regulations of the Federal Deposit Insurance Corporation (FDIC); Federal Financial Institutions Examination Council (FFIEC); Federal Reserve System; and state banking regulatory agencies
Knowledge of principles of banking and finance related to commercial baking, deposits, and treasury management
Knowledge of financial markets and products
Knowledge of commercial lending
Skill in overseeing compliance programs
Skill in integrating and aligning compliance processes and procedures with business processes
Skill in coordinating complex compliance activities
Skill in providing support and guidance for compliance efforts
Skill in identifying and implementing controls and quality assurance processes
Skill in reviewing materials for compliance with rules and regulations
Skill in researching compliance issues
Skill in developing compliance training programs
Skill in gathering information and preparing oral and written reports
Skill in preparing and delivering written and oral presentations
Skill in investigating relevant irregularities
Skill in making rule-based and analytical decisions
Skill in operating standard office equipment and using required software applications
Ability to provide training, coaching, and mentoring for 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 gather information, identify linkages and trends, and apply findings to assignments
Ability to interpret and apply banking regulations and identify and recommend compliance changes as appropriate
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 provide a high level of customer service
Ability to establish and maintain effective working relationships at all levels of the organization
Ability to maintain confidentiality
Ability to remain current banking industry rules and regulations and best practices in compliance
Preferred
Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred
Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)
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
Company data provided by crunchbase