Compliance Director, PCG Training & Education

Job Summary

Under administrative supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance to manage and oversee the operation of all functions for Private Client Group (PCG) Compliance Training and Education (CTE). Manages department, associates, and division of responsibilities within the Compliance department. Leads major projects, programs or processes with significant business impact involving cross-functional teams. Works with members of the Compliance, Legal, Human Resources and PCG leadership teams to develop tactical plans for CTE initiatives. Completes complex assignments with substantial latitude for autonomous actions or decisions. Provides comprehensive solutions to complex problems or needs. Maintains extensive contact with various business units and departments of Raymond James Financial and its subsidiaries to perform the functions of this job.

Essential Duties And Responsibilities

• Partners with PCG Compliance Leadership and others to create the annual PCG Compliance Training and Education Needs Assessment.
• Collaborates with Compliance, Human Resources, Supervision, PCG Leadership, and others to create and deliver training and education to PCG and certain Home Office associates.
• Ensures appropriate subject matter expert review of training and education content.
• Effectively liaises with Organization & Talent Development and Instructional Design Teams to create courses consistent with Raymond James’ core values.
• Adheres to established timelines.
• Supports PCG learners by providing timely responses to their CTE inquiries.
• Produces metrics and reporting suitable for tracking coursework completions and escalation of outstanding requirements to first line stakeholders.
• Provides critical challenge consistent with PCG compliance obligations.
• Serves as the primary representative of the PCG CTE program.
• Recommends enhancements to the PCG and/or Enterprise CTE programs, when appropriate.
• Manages department, associates, budget, and reporting structure for assigned division of responsibilities within Compliance department.
• Identifies and manages regulatory risks associated with specific division and/or department assigned.
• Develops, reviews, and adjusts the department’s procedures to adapt to changing regulatory and business environments.
• Uses data and performance indicators to establish control mechanisms and other improvement initiatives, and ensures quality standards are consistently attained or exceeded.
• Leads and manages all aspects of large, complex projects through their entire project lifecycle (initiation, planning, execution, closure).
• Develops and sponsors tactics to achieve strategic objectives across functional groups or within a business group.
• Establishes objectives and develops processes and procedures to ensure efficient and timely workflow.
• Serves as a member of the leadership team in developing short- and long-term goals and initiatives to achieve strategic vision for the compliance department.
• Represents Compliance on major firm level projects and/or initiatives.
• Performs human resource management activities, including identifying performance problems and approving recommendations for remedial action; evaluating performance; and interviewing and selecting staff.
• Plans, assigns, monitors, reviews, evaluates, and leads the work of subordinate supervisors.
• Coaches and mentors subordinates, identifies training needs and recommends appropriate development programs.
• Develops systems and procedures to minimize the firm’s risk exposure while balancing business concerns.
• Maintains the required compliance systems for the firm while fostering a positive relationship with department employees and management.
• Responds to and oversees responses to regulatory inquiries.
  
  

Performs Other Duties And Responsibilities As Assigned.

Qualifications:

Knowledge, Skills, And Abilities

Advanced knowledge of:

• Compliance and legal procedures in the financial services industry.
• Concepts, practices, and procedures of the financial services industry.
• Retail and clearing firm operations.
  
  

Advanced skill in:

• Expert written and verbal communications skills to professionally address a wide and varied audience both internally and externally.
• Organizational and time management skills sufficient to handle multiple priorities in a fast paced and ever-changing environment.
• Project management skills and experience sufficient to successfully complete long and short-term projects.
• Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases.
  
  

Ability to:

• Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates.
• Plan, assign, monitor, review, evaluate and lead the work of others, coach, and mentor others.
• 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.
• Partner with other functional areas to accomplish objectives.
• Organize, prioritize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
• Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels to accomplish objectives.
• Work independently as well as collaboratively within a team environment.
  
  

Educational/Previous Experience Requirements

Education/Previous Experience

• 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.
• ~or~
• Any equivalent combination of experience, education, and/or training approved by Human Resources.
  
  

Licenses/Certifications

• None Required.
• Appropriate series license(s) for assigned functional area preferred.
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
  
  

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
  
  

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

Job :

Compliance

Primary Location :

US-FL-St. Petersburg-Saint Petersburg

Organization :

RJF Corporate

Schedule :

Full-time

Shift :

Day Job

Travel :

Yes, 20 % of the Time

Salary Range: CO, NY, CA, WA (based on Education, Work Experience, and Geographic Location)

130,000 - 140,000

Eligible for Discretionary Bonus :

Yes