SVP, Capital Markets Chief Compliance Officer

Job Description

Job Summary

Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision of a comprehensive compliance program for the Capital Markets division. This role requires significant industry expertise, regulatory acumen, and leadership skills to manage compliance functions, ensure adherence to federal, state, and self-regulatory requirements, and mitigate regulatory risks. As a key member of the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive strategic initiatives while managing a team of compliance professionals.

Essential Duties and Responsibilities

• Serve as an integral member of the RJF Compliance Senior Leadership Team, shaping compliance strategy and direction.
• Lead the development and implementation of a comprehensive compliance program for Capital Markets, encompassing Equity Investment Banking, Equity Research, Institutional Equity Sales & Trading, Affordable Housing Investments, Fixed Income Sales & Trading, and Public Finance Underwriting.
• Manage and develop the Capital Markets Compliance team, providing leadership, mentorship, and strategic oversight.
• Identify, assess, and mitigate regulatory risks associated with Capital Markets activities, ensuring adherence to SEC, FINRA, FRB Bank Holding Company, and state securities regulations.
• Engage with senior business leaders, providing compliance guidance to support decision-making and operational risk management.
• Maintain expertise in securities underwriting, private placements, syndicate matters, Reg M, and electronic trading risks across multiple asset classes.
• Oversee the development and execution of compliance programs, policies, and procedures to align with evolving regulatory requirements and industry best practices.
• Strategically recruit and develop compliance professionals to support business growth and adapt to changing regulatory landscapes.
• Foster a culture of compliance by coaching and mentoring junior team members and implementing targeted training programs.
• Conduct ongoing reviews of compliance controls, recommending enhancements to optimize efficiency while maintaining regulatory integrity.
• Act as a subject matter expert on Capital Markets compliance, keeping abreast of regulatory updates and industry trends.
• Continuously assess department structure and strategic priorities to align with business objectives, ensuring operational excellence.

Advanced Knowledge of:

• Securities industry compliance practices, concepts, and procedures.
• SEC, FINRA, FRB Bank Holding Company, and state regulatory frameworks.
• Financial markets, investment products, and electronic trading risks.

Advanced Skill in:

• Leadership and collaboration across senior business units.
• Strategic planning, risk management, and regulatory analysis.
• Compliance investigations and issue resolution.
• Effective communication, both written and verbal, across diverse audiences.
• Project management, process optimization, and policy development.

Ability to:

• Prioritize and manage multiple complex compliance initiatives in a fast-paced environment.
• Provide clear direction and strategic vision while fostering a positive compliance culture.
• Identify process improvements to enhance operational efficiency and regulatory adherence.
• Lead and mentor a high-performing team, promoting professional growth and development.
• Interpret evolving regulatory requirements and implement compliance strategies accordingly.
• Collaborate effectively with leadership, regulators, and internal stakeholders to drive compliance excellence.

Educational/Previous Experience Requirements

• Bachelor’s Degree (B.A./B.S.) in a related discipline required with a Master’s degree preferred.  Minimum of fifteen (15) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry.
• A minimum of ten (10) years of managerial experience with an emphasis on finance and operations, within an investment advisory or management firm. 
• Ten (10) years of compliance experience preferred.

~or~

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

Licenses/Certifications

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Travel

• A minimum of 4-6 times a year to and f