Job Summary

Under intermittent supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to participate in the design, implementation and supervision of a comprehensive compliance program covering Raymond James Trust, N.A. and Raymond James Trust Company of New Hampshire business units. Leads major projects, programs, or processes with significant business impact. Influences strategic direction, develops tactical plans, and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalated problems or needs. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze, and resolve complex issues.

Essential Duties and Responsibilities

• Provides compliance support for the RJTNA and RJTCNH business units.
• Performs human resources management activities including identifying performance problems, seeking guidance for remedial action, reviewing performance, as well as participating in interviewing and selecting staff within RJTNA and RJTCNH Compliance department.
• Plans, assigns, monitors, reviews, evaluates, and leads the work of others.
• Coaches and mentors subordinates, identifies training needs, and recommends appropriate development programs.
• Works in conjunction with management to develop and implement continuing education and training programs for the department.
• Oversees compliance exception reporting processes and approves corrective actions.
• Schedules and oversees audit processes, including scheduling, training, and reviewing audit results.
• May monitor and review branch audits and correspondence.
• Ensures effective coordination within assigned work group and with other work groups.
• Identifies and recommends solutions to automate and streamline functions that improve the operational efficiency of compliance systems.
• Serves as a compliance liaison on various committees and projects that represent the department’s interest(s).
• Research regulatory updates to identify linkages, report trends and apply findings.
• Periodically reports on compliance and operational issues.
• Assists in preparing the operational budgets for assigned functional area.
• Balances conflicting resource and priority demands.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced knowledge of:

• OCC and State Trust regulations and business operations.
• Compliance and legal procedures in trust and asset management.
• Concepts, practices, and procedures of trust and asset management.

Advanced skill in:

• Administering regulatory notification and filings.
• Planning and scheduling work to meet regulatory organizational and regulatory requirements.
• Identifying and applying appropriate compliance monitoring procedures and tests.
• Preparing oral and/or written reports.
• Investigating compliances issues and irregularities.
• Making rule-based and analytical decisions.
• Strong verbal and written communication.

Ability to:

• Manage, coach and mentor others.
• Partner with other functional areas to accomplish objectives.
• Facilitate meetings ensuring that all viewpoints, ideas and problems are addressed.
• Attend to detail while maintaining a big picture orientation.
• Work under pressure on multiple tasks concurrently, and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
• Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.
• Work independently as well as collaboratively within a team environment.
• Establish and maintain effective working relationships at all levels of the organization.
• Maintain confidentiality.
• Maintain currency in laws, rules and regulations related to compliance in assigned functional area.
• Interpret and apply policies and identify and recommend changes as appropriate.
• Quantitatively and/or qualitatively process data.
• Formulate and implement department strategies consistent with long-term company goals.

Educational/Previous Experience Requirements

• Bachelor’s degree (B.A. /B.S.) and a minimum of eight (8) years of experience in Compliance and/or the financial services industry preferred.

~or~

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

Licenses/Certifications

• None Required.
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Travel

None Required