Raymond James
From Raymond James's careers page
Status: listed on the employer's own careers page when we last checked (daily). Confirm on their site before applying.
Under intermittent supervision, uses extensive knowledge and skills obtained through education and experience in securities and/or the banking industry to support the firm’s overall efforts to manage data privacy and information compliance risk. Leads large or multiple projects with significant scope and impact. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with a high level of latitude for un-reviewed actions or decisions. Provides comprehensive solutions to vastly complex problems. Maintains extensive contact with internal customers to identify, research, analyze and resolve complex data privacy and protection issues.
Supports the execution of the strategic vision for the U.S. Data Privacy and Protection Program.
Maintains industry knowledge of global privacy laws, company guidelines and policies, and industry best practices.
Supports the privacy regulatory control framework by facilitating core compliance activities to identify, assess, mitigate, and monitor data privacy risks.
Serves as a cross-organizational team lead on privacy reviews and assessments.
Serves as a cross-organizational team lead on privacy-related projects and initiatives with business and technology partners to translate privacy requirements into business requirements, conduct oversight, and provide subject matter expertise.
Serves as a subject matter expert on data privacy and protection to all U.S.-based departments and business units.
Responds to and assists with privacy-related inquiries.
Reviews and assess privacy-related risk with business partners to identify and address privacy-related compliance gaps or areas of privacy risk in support of business requirements.
Recommends process improvements for risk management processes and procedures.
Documents and maintains a record of identified metrics to track privacy program effectiveness.
Directs adjustments to existing programs, policies, and procedures, as required.
Ensures that compliance activities are commensurate with the level of risk being mitigated.
Provides escalated support and guidance to compliance efforts in assigned business entity.
Informs Senior Compliance Management about issues that may involve rule violations or potential liability.
Assists management to implement adequate controls and quality assurance processes to detect and address potential compliance problems.
Research compliance issues.
Develops and maintains compliance policies and procedures.
Develops compliance training programs, including maintaining training records and coordinating training with other compliance activities.
Reports compliance program status and activities to compliance and business management.
Prepares and delivers written and oral presentations to management.
Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities
Concepts, practices, frameworks, and procedures of data privacy and protection compliance and risk management.
Privacy rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; Federal Communications Commission (FCC); Federal Trade Commission (FTC); and state banking and privacy regulatory agencies.
Fundamental investment concepts, practices and procedures used in the securities industry.
Principles of banking and finance and securities industry operations.
Financial markets and products.
Overseeing compliance programs.
Integrating and aligning compliance processes and procedures with business processes.
Coordinating complex compliance activities.
Providing support and guidance for compliance efforts.
Identifying and implementing controls and quality assurance processes.
Reviewing materials for compliance with rules and regulations.
Researching compliance issues.
Developing compliance training programs.
Gathering information and preparing oral and written reports.
Preparing and delivers written and oral presentations.
Investigating relevant irregularities.
Making rule-based and analytical decisions.
Operating standard office equipment and using required software applications.
Provide training, coaching, and mentoring for 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.
Gather information, identify linkages and trends, and apply findings to assignments.
Interpret and apply securities and/or banking regulations and identify and recommend compliance changes as appropriate.
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.
Provide a high level of customer service.
Establish and maintain effective working relationships at all levels of the organization.
Maintain confidentiality.
Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance.
Bachelor’s degree (B.A. /B.S.) and a minimum of six (6) 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.
Work Experience
Certifications
The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.
At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.
Grow professionally and inspire others to do the same
Work with and through others to achieve desired outcomes
Make prompt, pragmatic choices and act with the client in mind
Take ownership and hold themselves and others accountable for delivering results that matter
Contribute to the continuous evolution of the firm
At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. #LI-AF1
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