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VP, Financial Holding Company

1 month ago

St Petersburg, United States Raymond James Financial Services Full time

Job Summary

Under administrative supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience to manage and oversee the operation of all compliance functions covering the Financial Holding Company requirements that apply across Raymond James Financial, Inc. and requirements that apply to the Firm’s Enterprise Risk Management, Corporate Finance, Human Resources, Corporate Services, and Legal areas.   Manages department, associates, and division of responsibilities within the Financial Holding Company (“FHC”) Compliance department. Leads major projects, programs or processes with significant business impact involving cross-functional teams. Works with members of the Compliance, Legal and business leadership teams to develop tactical plans for compliance initiatives. Completes complex assignments with substantial latitude for autonomous actions or decisions. Provides comprehensive solutions to complex problems or needs. End results are evaluated for achieving goals and objectives. 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

·       Manages department, associates, budget, reporting structure, and division of responsibilities within the FHC Compliance department.

·       Manages FHC firm wide compliance programs, conducts activity and exception review, continuing education programs, as well as complaint review and response.

·       Identifies and manages firm-wide regulatory risks associated FHC regulatory requirements.

·       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 work flow.

·       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. 

· Manages compliance exams of the firm by various regulatory bodies.

·       Performs other duties and responsibilities as assigned.