Sr. Manager, Compliance RJ Trust

Job Description Summary Under intermittent supervision, using extensive Trust Compliance 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. Job Description 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. 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. May draft and update policies and procedures as required by the Office of the Comptroller of the Currency (OCC), the New Hampshire Banking Department, and applicable state regulations. Research regulatory updates to identify linkages, report trends and apply findings. Periodically reports on compliance and operational issues. Balances conflicting resource and priority demands. Performs other duties and responsibilities as assigned. Knowledge, Skills, and Abilities Advanced knowledge of: Fiduciary rules and regulations of the OCC; and/or the New Hampshire Banking Department. Compliance and legal procedures in trust and asset management. Concepts, practices, and procedures of trust and asset management compliance. Advanced Skill in: 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 Certified Fiduciary and Investment Risk Specialist (CFIRS) preferred Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred. Education Work Experience Certifications Salary Range $100,000.00-$120,000.00 Travel Less than 25% Workstyle Remote 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. We expect our associates at all levels to: • 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 Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm. Today, Raymond James has locations and subsidiaries across the United States, Canada, the United Kingdom and Germany, and is listed on the New York Stock Exchange under the symbol RJF. Thanks for your interest in working with Raymond James. While we might not have the perfect role for you today, we'd love to keep in touch. Join our Talent Network to stay up to date on career opportunities that may be a good fit for you. Our business is deeply focused on people and their financial well-being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good aren't mutually exclusive. As an established but ever-evolving company, you can start – or continue – growing your career here. We invest in you with wide-ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow. Our people-first culture is outlined in our Culture Blueprint. Check it out to see why many choose to work at Raymond James – and why they stay.

Salary : $100,000 - $120,000