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Director, Compliance - Privacy and Data Protection

New York City, NY, USA | Raymond James Financial

  • Industry:
    Financial Services
  • Position Type:
  • Functions:
    General Management
    Legal / Compliance
  • Experience:
    10-12 years
Job Description:
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Under general direction from the Chief Privacy Officer of Raymond James Financial, Inc., uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in Data Privacy and Protection (DPP) to design, implement and oversee a comprehensive DPP compliance program. Leads major projects, programs or processes with significant business impact. Influences strategic direction and develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Maintains extensive contact with customers and regulatory to identify, research, analyze and resolve complex issues.

Essential Duties and Responsibilities:

• Support the Chief Privacy Officer (CPO) to define and achieve the strategic vision for the corporate DPP Program.

• Develops and maintains DPP compliance programs, systems, policies and procedures to ensure compliance with federal, state and self-regulatory regulations. Minimizes the firm’s risk exposure while balancing business concerns.

• Serve as a cross-organizational team lead on privacy and data protection reviews and assessments.

• Serve as a subject matter expert on privacy and data protection across the firm

• Serves as the primary liaison between the organization and industry regulators by responding to inquiries, audits, complaints and investigations.

• Reviews DPP compliance and risk management controls and recommends appropriate changes, as required.

• Serves as an expert on DPP compliance issues by maintaining proficient knowledge of applicable DPP compliance statutory U.S. and Key international regulations and interpretations.

• Continually evaluates department structure and strategic plan, considering future growth as needed. Promotes overall efficiency while maintaining a commitment to DPP compliance standards and excellent service.

• Ensures processes and procedures support efficient and timely work flow.

• Performs other duties and responsibilities as assigned.



Knowledge, Skills, and Abilities:

Advanced knowledge of:

• DPP laws and regulations applicable to a U.S. Based global Financial Institution

• DPP industry best practices and frameworks – including security, cyber security and records management

• Concepts, practices, framework and procedures for heightened standards for compliance management and risk management systems.

• DPP Risk assessment methods

• Awareness on Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.

• Investment concepts, practices and procedures used in the securities industry.

Skill in:

• DPP legal and regulatory analysis and policy change management

• DPP program management administration 

• Execution of DPP risk assessments

• Planning and scheduling work to meet regulatory organizational and regulatory requirements.

• Investigating DPP compliances issues and irregularities.

• Making rule-based and analytical decisions.

• Identifying and organizing appropriate compliance monitoring procedures and tests.

• Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.

• Preparing oral and/or written reports. 

• Project management skills and experience sufficient to successfully complete long and short term projects.

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.

• Attend to detail while maintaining a big picture orientation.

• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.

• Establish and communicate clear directions and priorities.

• Gather information, identify linkages and trends and apply findings to operations.

• Maintain currency in DPP laws, rules and regulations related to compliance in assigned functional area (s).

• Work independently as well as collaboratively within a team environment to resolve problem.

Educational/Previous Experience Requirements:

• 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.


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


• Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

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