Sr. Manager Compliance, RJ Bank

Job Description Summary

Under intermittent supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to administer and manage an assigned compliance function. 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 escalate problems or needs. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze, and resolve complex issues.

Job Description

Essential Duties and Responsibilities

• Oversees elements of the RJ Bank compliance program(s) to ensure regulatory requirements are addressed, including:

  • Insider Lending Program

  • Transactions with Affiliates Program

• Manages the Compliance training by collaborating with RJF Compliance and the Organization Training and Development Team to create and develop training content for applicable coverage areas.

• Maintains RJ Bank’s sound compliance management system standards while fostering positive business relationships with business counterparts, and second and third-line functions.

• Establishes objectives and develops processes and procedures to ensure adherence to regulatory requirements.

• Ability to manage and perform risk-based compliance testing.

• Ability to determine matters requiring escalation to RJ Bank compliance management and ability to do so with the appropriate level of urgency.

• Assists management to implement appropriate controls to detect and address potential compliance problems.

• Excellent communications skills; May present to and interact with RJ Bank Board of Directors and Executives Officers

• Researches regulatory updates to identify relevant changes and provides advice and guidance to the business

• Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.

• Balances conflicting resource and priority demands.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced knowledge of:

• Concepts, practices, and procedures of securities industry and/or banking compliance.

• Rules and regulations of the Federal Deposit Insurance Corporation (FDIC); Federal Financial Institutions Examination Council (FFIEC); Federal Reserve Board (FRB); Consumer Financial Protection Bureau (CFPB), and state banking regulatory agencies

• Knowledge of Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; Office of the Comptroller of the Currency (OCC) regulations is beneficial but not required

• Knowledge of Investment concepts, practices and procedures used in the securities industry is beneficial but not required

• Principles of banking and finance and securities industry operations.

• Financial markets and products.

Advanced skill in:

• Integrating and aligning compliance processes and procedures with business processes.

• Coordinating complex compliance activities

• Reviewing materials for compliance with rules and regulations

• Reviewing and providing feedback regarding others associates’ work

• Researching regulatory and compliance topics

• Conducting compliance testing and monitoring

• Developing compliance training courses

• Acquiring information and preparing oral and written reports

• Delivering written and oral presentations 

• Investigating compliance irregularities

• Making rule and risk-based analytical decisions

• Operating standard office equipment and using required software applications

Ability to:

• 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 organizat