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Senior Vice President Chief Compliance Officer

St. Petersburg, FL, USA | Raymond James Financial

  • Industry:
    Financial Services
  • Position Type:
  • Functions:
    General Management
    Legal / Compliance
  • Experience:
    15-20 years
Job Description:
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Job Summary:

With a high level of autonomy, uses extensive knowledge and skills obtained through education and experience to provide leadership and strategic direction to the RJFS Compliance Team.Participates in the PCG Compliance Leadership team in maturing the PCG Compliance program and providing compliance coverage for PCG senior business and risk leaders.Ensures compliance with all regulatory requirements. Leads large or multiple projects with significant scope and impact.Works independently and supervises others to perform difficult assignments that are broad in nature.Provides comprehensive solutions to complex problems.Maintains extensive contact with the leadership of various departments to identify, research, analyze and resolve complex issues.  

Essential Duties and Responsibilities:

• Direct and oversee the RJFS PCG compliance program.Lead a team of experienced compliance professionals in enhancing and strengthening the foundational elements of RJFS’ compliance program.These elements include: risk reviews and assessments, controls matrices, policies, training, advice and guidance, issue identification and remediation and strategic initiatives.

• Build, manage and lead the team by providing visionary direction and decision-making, identifying and prioritizing tasks, tracking issues, and reviewing project deliverables.

• Manage plans, processes and programs to ensure the attainment of current and future objectives, efficiency, growth, and development of the organization; implementing change as needed.

• Identify gaps in realization of strategic objectives.

• Develop partnerships with senior leaders across all three lines of defense to build compliance processes to support the Firm’s activities in RJFS-impacted business areas.

• Function as RJFS Compliance’s central point of contact and work closely with control partners and Legal on governance, risk, and control initiatives.

• Work with business management to evaluate and enhance processes and procedures that support compliance with broker-dealer regulations.

• Identify trends and implement corrective action as necessary.

• Advise IT on systems builds and enhancements impacting RJFS.

• Ensure proper communications to relevant stakeholders.

• Plan, assign, monitor, review and evaluate the work of others.

• Identify performance problems and approve recommendations for remedial action.

• Support a culture of risk management and compliance throughout all levels within the Firm.

• Respond to, oversee and/or assist with responses to regulatory inquiries. 

• Perform other duties and responsibilities as assigned.  *LI-MM2


Knowledge, Skills, and Abilities:


• Extensive knowledge and experience with laws, rules and regulations governing broker dealers.

• Advanced knowledge of FINRA rules and the Securities Exchange Act of 1934, and applicable rules thereunder.

• Advanced knowledge of financial services and products.

Skills and Abilities:

• Ability to think strategically on large scale programs and track and monitor to completion.

• Strong relationship management, interpersonal and leadership skills.

• Strong presentation, oral and written communication skills.

• Strong project management skills, sound decision-making exhibiting initiative and intuitive thinking.

• Ability to prepare and deliver clear, effective, and professional presentations.

• Ability to operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

• Skilled in managing teams to deliver high quality reports and presentations.

• Skilled in problem solving and working under tight deadlines.

• Ability to manage large, complex projects for global organizations preferably within a regulatory environment.

• Ability to work independently as well as collaboratively in a team environment.

• Ability to partner with other functional areas to accomplish objectives.

• Ability to think quickly and creatively, overcome objection, and react well to deadline pressure.

• Ability to prioritize and work concurrently on multiple assignments to meet conflicting deadlines in a fast-paced work environment. 

• Ability to identify training needs and develop subordinates.

• Ability to organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, in an area with frequently changing priorities.

• Ability to solve complex problems and model the business and financial impact of proposed scenarios.

• Ability to resolve complex analytical challenges, independently analyze information; and make recommendations based on analysis.

Educational/Previous Experience Recommendations:

• Bachelor’s degree (B.A./B.S.) required, with a master’s or JD preferred;  

• Minimum of fifteen (15) years of Compliance, Legal, Risk and/or regulatory experience with a FINRA registered broker dealer(s);

• A minimum of ten (10) years of managerial experience with a FINRA registered broker dealer(s); or

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

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