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Director, Compliance - Privacy and Data Protection

New York City, NY, USA | Raymond James Financial

  • Industry:
    Financial Services
  • Position Type:
    Full-Time
  • 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.


*LI-MM2


Qualifications


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.


~or~


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


Licenses/Certifications:


• 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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