Compliance Director

4 weeks ago

St Petersburg, United States Raymond James Financial Services Full time
Job Summary

Under administrative supervision, uses extensive knowledge and skills to manage and oversee the registrations functions for Raymond James and its subsidiaries. Acts as a subject matter expert for registration issues and oversees a team and processes that provides new and existing associates assistance and support with their FINRA, SEC, CFTC, MSRB, CBOE, NMLS, and NFA registrations.

Key Responsibilities
  • Maintains knowledge of current and emerging regulations and advises on compliance risks related to registration requirements.
  • Performs human resource management activities including identifying performance problems, approving recommendations for remedial action, evaluating performance, and interviewing and selecting staff.
  • Manages team; budget, reporting structure, and division of responsibilities within the Registrations department.
  • Monitors and streamlines workflows to ensure requests are processed in a timely and efficient manner.
  • Functions as the subject matter expert on Registrations workflows, data flows, and the systems utilized in the respective processes.
  • Interprets, applies, and recommends changes to organizational procedures.
  • Oversees on-boarding, ongoing maintenance, and terminations of registered and associated persons, disclosure amendments, location and Firm filings, etc.
  • Oversees associate mortgage licensing and renewals for RJ Bank.
  • Oversees, reviews, and provides support to associates in meeting the timely completion of the Firm's regulatory filing requirements.
  • Oversees the Firm's use of FINRA's Gateway system and other regulatory registrations systems and controls access to such for the organization.
  • Oversees Registrations billing functions.
  • Handles identification, tracking, reporting, and resolution of escalated issues.
  • Communicates to business units on registration requirements; develops and maintains procedures, reporting, and metrics.
  • Develops and implements monitoring and control processes.
  • Identifies and implements process improvements that significantly reduce workloads and improve quality.
  • Develops, reviews, and adjusts the department's desk procedures to adapt to changing regulatory and business environments.
  • Uses data and performance indicators to establish control mechanisms and other improvement initiatives, and ensure quality standards are consistently attained or exceeded.
  • Develops short- and long-term goals and initiatives to achieve strategic vision for the department.
  • Maintains the required compliance systems for the Firm while fostering a positive relationship with department associates and management.

  • Compliance Director

    4 weeks ago

    Petersburg, United States Williamson Health Full time

    Job SummaryWilliamson Health is seeking a highly motivated and experienced Compliance Director to administer the compliance program by implementing systems and processes to ensure compliance with applicable laws, regulations, and standards. This position reports directly to the Chief Executive Officer.Key Responsibilities Develop and implement a...

  • Compliance Director, Information Risk Management

    4 weeks ago

    St. Petersburg, United States Raymond James Financial Services Full time

    Job SummaryUnder administrative supervision, this role utilizes extensive knowledge and skills to support the firm's overall efforts in managing data privacy and protection risk. The Compliance Director, Information Risk Management, collaborates with peers and senior leaders to support the firm's compliance programs for managing the privacy regulatory...

  • Compliance Director

    4 weeks ago

    Petersburg, Tennessee, United States Williamson Health Full time

    At Williamson Health, we are seeking a highly motivated Compliance Director to administer our compliance program by implementing systems and processes to ensure compliance with applicable laws, regulations, and standards.This position reports directly to the Chief Executive Officer and requires a director-level, experienced Compliance professional with a...

  • Construction Project Director

    3 weeks ago

    St. Petersburg, United States The Rinaldi Group Full time

    About The Rinaldi Group:The Rinaldi Group is a full-service licensed general contractor and construction management firm, renowned for its self-performance in the public and private sectors. With steady growth over the past 15+ years, the company currently boasts a significant backlog of over $750 Million. As a trusted partner in high-rise and mid-rise...

  • Director of Benefits

    4 weeks ago

    St Petersburg, United States FinTrust Connect Full time

    For more Job Opportunities follow FINTRUST CONNECT here: FinTrust Connect: Jobs | LinkedInDirector of Benefits -St. Petersburg, FLFinTrust Connect, a trusted partner of a well-established financial institution, is in the search of a Director of Benefits in the Greater Tampa Bay Area. We are looking for a dynamic and experienced Director of Benefits who will...

  • Director of Nursing

    3 weeks ago

    St Petersburg, United States Suncoast Manor Retirement Community, Inc Full time

    Westminster Communities of Florida, a Mission-inspired, fiscally strong, faith based, not-for-profit organization, is seeking a Director of Nursing at its St. Petersburg location , Westminster Suncoast. Our employees work with excellence and serve with heart. We invite you to join our leadership team as a Director of Nursing to at our Health Center. The...

  • Financial Reporting Director

    1 month ago

    St. Petersburg, Florida, United States Leon Recruitment Full time

    Job OverviewLeon Recruitment is seeking a highly skilled Financial Reporting Director to join our team. This is a unique opportunity to build a long-term career with a Fortune 200 company.The successful candidate will be responsible for effective management of financial reporting, monitoring internal controls, and ensuring compliance with Sarbanes-Oxley...

  • ADON / Assistant Director of Nursing

    3 weeks ago

    St Petersburg, United States Bayside Care Center Full time

    TSign-On Bonus: Up to $4,000 Pay: Up to $90,000 The Assistant Director of Nursing is responsible for education of nursing staff in the center. He/she directs, plans, and coordinates education of professional Nursing and auxiliary Nursing personnel. The Assistant Director of Nursing interprets center policies and regulations to all Nursing personnel and...

  • Branch Director

    1 month ago

    St. Petersburg, United States First American Financial Company Full time

    Job SummaryWe are seeking a highly skilled Branch Director to lead our escrow operations team. As a key member of our organization, you will be responsible for directing the day-to-day activities of our branch, ensuring seamless execution of real estate transactions, and fostering a culture of excellence within our team.Key ResponsibilitiesDirect and manage...

  • Compliance Director

    4 weeks ago

    St Louis, Missouri, United States nVent Management Company Full time

    Compliance Director Job SummarynVent Management Company is seeking a highly experienced Compliance Director to lead our global compliance initiatives. The ideal candidate will have a strong background in compliance policy development, risk assessment, and mitigation.Key Responsibilities:Develop and implement effective compliance policies and proceduresManage...

  • Clinical Director

    4 weeks ago

    St. Petersburg, Florida, United States NurseCore Full time

    Job DescriptionAt NurseCore, we are seeking a highly skilled Registered Nurse to fill the role of Clinical Director for our home care services. As a Clinical Director, you will be responsible for providing overall direction and clinical management for our home care services, ensuring compliance with all regulatory state and/or federal requirements. You will...

  • Membership Services Director

    1 hour ago

    St Petersburg, United States YMCA Full time

    Be the Heart of Our Community and Help Us Build Stronger Connections Job Description The Membership Services Director is responsible for overseeing all aspects of membership engagement, retention, and administration at the YMCA. This role focuses on delivering a superior member experience, driving enrollment, fostering community connections, and ensuring...

  • Compliance Director, Information Risk Management

    4 weeks ago

    Saint Petersburg, FL, United States Raymond James Financial Services Full time

    Job SummaryAs a key member of the Raymond James Financial Services team, the Compliance Director, Information Risk Management will play a critical role in supporting the firm's overall efforts to manage data privacy and protection risk. This role is responsible for collaborating with peers and senior leaders to support the firm's compliance programs for...

  • Executive Director

    3 weeks ago

    St Petersburg, United States INNOVATIVE THE COLLIER AT NAPLES Full time

    Job Description:  EXECUTIVE DIRECTOR  SUMMARY: Performs assigned duties that protect the safety and dignity of residents.  Work together with all staff to ensure that the resident care goals are being met and that all building goals are being met. The director must be able to always ensure proper management of the facility, including staff, independent...

  • Financial Aid Director

    1 month ago

    St. Petersburg, Florida, United States Fa Solutions Llc Full time

    Job OverviewAs a Financial Aid Director at Fa Solutions Llc, you will play a critical role in ensuring the smooth operation of our financial aid services. Your primary responsibility will be to oversee the planning, organization, and delivery of high-quality services to our clients, ensuring that federal aid is processed in accordance with school, state, and...

  • Director of Guest Services

    1 week ago

    St. Petersburg, United States The Moxy St. Petersburg Full time

    Director of Guest ServicesWurzak Hotel Group is seeking an experienced and dedicated Director of Guest Services to join our opening team at the Moxy St.Petersburg Downtown.With 163 stylish designed chic bedrooms, well-appointed functional spaces, and an intimate urban rooftop designed with adventure in mind, this new boutique hotel is an experiential...

  • Senior Manager/ Director Tax Compliance and Planning

    3 weeks ago

    St Louis, United States Advantage Capital Full time

    Senior Manager/Director Tax Compliance and Planning St. Louis, MO Description We are seeking an experienced tax professional to join our tax team at Advantage Capital. As the Senior Manager/Director Income Tax, you will be a key member of the tax team responsible for income tax compliance, tax planning and ensuring the company's adherence to applicable...

  • Patient Access Director

    4 weeks ago

    St. Petersburg, Florida, United States Evara Health Full time

    Job OverviewEvara Health is seeking a highly skilled Patient Access Manager to oversee the supervision of patient registration areas, financial counselors, and patient access at our operating locations.The ideal candidate will be accountable for ensuring a smooth and timely registration process, holding team members accountable for meeting Evara Health's...

  • Director Out of Network Services

    2 months ago

    St Petersburg, United States Zelis Healthcare Full time

    Position Overview: The Director of Out of Network Services is responsible for overseeing the operations and performance of the Out of Network Post Pay Solutions department. The Director ensures that the department meets the quality, productivity, and compliance standards set by the company and the clients. The Director also develops and implements...

  • Director of Transitions

    1 month ago

    St. Petersburg, Florida, United States Dynasty Financial Partners, LLC Full time

    Job Title: Director of TransitionsAt Dynasty Financial Partners, LLC, we are seeking a highly skilled and motivated Director of Transitions to join our dynamic team. This leader will play a pivotal role in managing and facilitating the transition services team and strategizing processes for new and existing clients.Key Responsibilities:Client Onboarding and...