Compliance Manager

Job Description Summary Under general supervision, uses extensive knowledge and skills obtained through experience, specialized training and/or certification to support executive reporting, strategy and planning for Raymond James’ Compliance department and other internal partners as applicable. Support the Compliance organization and its leadership through executive reporting and communications, coordination of high-impact initiatives, and support for Compliance strategic planning and execution. The role leads preparation and coordination of materials for key Board and executive governance forums, works across Compliance to facilitate alignment and execution of leadership priorities, and provides thoughtful analysis and recommendations to support decision-making. The position requires strong judgment, communication, collaboration, and the ability to influence outcomes across functions without direct authority. Essential Duties and Responsibilities Lead the coordination and development of materials supporting the Chief Compliance Officer’s participation in Board and executive governance forums, synthesizing information from across Compliance, anticipating questions and follow-up needs, and ensuring materials are timely, accurate, clear, and responsive to leadership expectations. Partner with the VP responsible for Compliance strategy to support development, communication, and execution of Compliance priorities, including coordinating information across Compliance leadership, developing executive-level presentations and reporting, and helping translate strategic priorities into clear deliverables and actions. Identify themes, dependencies, and opportunities for alignment across Compliance initiatives and bring observations and recommendations forward to support strategic planning and decision-making. Build effective relationships across Compliance and other functions to coordinate complex initiatives, drive alignment among stakeholders, surface issues requiring resolution, and help ensure leadership priorities advance on a timely basis. Manage and create quarterly governance reports for Compliance leadership, highlighting key initiatives and escalating risks to management. Develop in-depth, executive-level talking points and support materials for Compliance leadership’s quarterly governance meetings. Collaborate with cross-functional teams to gather, validate and analyze Compliance data to ensure accuracy and completeness. Develop and maintain reporting templates and tools to streamline and continuously improve recurring reporting processes. Monitor reporting timelines and ensure all deliverables meet internal deadlines and quality standards. Identify opportunities for process improvements and automation within the reporting function. Support ad hoc reporting requests and special projects as directed by Compliance leadership. Routinely interacts with senior leaders within Compliance, Risk, AML and across the firm. May represent the Compliance department on cross-functional projects as they arise. Prepares and delivers written and oral presentations to management and other stakeholders. Performs other duties and responsibilities as assigned. Knowledge, Skills, and Abilities Advanced knowledge of: Effective reporting and communicating complex information. 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. Advanced skill in: Gathering, streamlining and communicating complex information in a digestible way. Creating reports, presentations and talking points for senior leaders. Writing, editing and proofreading. Making rule-based, analytical and strategic decisions. Providing support and guidance for compliance efforts. Reviewing materials for compliance with rules and regulations. Researching compliance issues. Microsoft PowerPoint, Word, Excel and SharePoint. Ability to: See projects through from conception to successful execution. Absorb unfamiliar topics quickly and translate into executive-ready materials. Attend to detail while maintaining a big picture orientation. Partner with other functional areas to accomplish objectives. Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels. Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed. Prioritize tasks and pivot quicky when necessary. Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities. Work independently as well as collaboratively within a team environment. Seek and implement constructive feedback. Troubleshoot problems and proactively suggest solutions. Provide a high level of customer service. Establish and maintain effective working relationships at all levels of the organization. Maintain currency in laws, rules and regulations related to compliance in assigned functional area. Quantitatively and/or qualitatively process data. Maintain confidentiality. Education & Previous Experience Requirements 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. ~or~ Any equivalent combination of experience, education, and/or training approved by Human Resources. Licenses/Certifications None Required. Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred. Travel Less than 25% Workstyle Hybrid Compensation and Benefits The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com. Company Culture and Values At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. We expect our associates at all levels to: Grow professionally and inspire others to do the same Work with and through others to achieve desired outcomes Make prompt, pragmatic choices and act with the client in mind Take ownership and hold themselves and others accountable for delivering results that matter Contribute to the continuous evolution of the firm The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. #LI-AF1 Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm. Today, Raymond James has locations and subsidiaries across the United States, Canada, the United Kingdom and Germany, and is listed on the New York Stock Exchange under the symbol RJF. Thanks for your interest in working with Raymond James. While we might not have the perfect role for you today, we'd love to keep in touch. Join our Talent Network to stay up to date on career opportunities that may be a good fit for you. Our business is deeply focused on people and their financial well-being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good aren't mutually exclusive. As an established but ever-evolving company, you can start – or continue – growing your career here. We invest in you with wide-ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow. Our people-first culture is outlined in our Culture Blueprint. Check it out to see why many choose to work at Raymond James – and why they stay. #J-18808-Ljbffr