**Essential Duties and Responsibilities** + Partners with the VP, Capital Markets & Advisory (“CMA”) Compliance and BU Compliance Officers to design strategic vision for CMA’s compliance program in alignment with enterprise objectives. + Designs and maintains CMA Compliance pillar activities to align with Central Compliance requirements. This includes – Training, Policy Management, Regulatory Change Management, Emerging Risk Management, Compliance Risk Assessment, Testing & Monitoring, Metrics & Reporting, Regulatory Inquiries & Exams, Associate Activities and Issues Management. + Manages Capital Markets & Advisory (“CMA”) Compliance’s core compliance program to ensure compliance processes and procedures are integrated, along with supporting reporting and dashboards, to ensure all is aligned with RJF Central Compliance. + Supports the CMA Business Unit (“BU”) Compliance teams to develop and maintain compliance programs, systems, policies, and procedures to ensure compliance with federal, state, and self-regulatory regulations. Minimizes the firm’s risk exposure while balancing business concerns. + Serves as the primary compliance leader for CMA Compliance, influencing Central Compliance strategy and risk posture. + Accountable for compliance risk management decisions impacting CMA Compliance’s operations. + Responsible for compliance program effectiveness, measured by audit results, regulatory findings, and risk mitigation outcomes. + Maintains the required compliance processes for the division while fostering positive business relationships with department associates and business associates/affiliates. + Functions as Project Manager for the CMA BU Compliance teams, determining scope and objectives, managing project schedule and ensuring process and providing updates. + Optimizes work processes to ensure processes and procedures support efficient and timely workflows with a focus on continuous enhancement. Makes recommendations about solutions that would significantly improve processes. + Reviews compliance controls and recommends appropriate changes, as required. + Supports CMA Compliance management in preparing the CMA Compliance Risk Assessment. + Collaborates with CMA BU Compliance teams in the development and implementation of continuing education and training programs for the department in conjunction with management. Maintains ad hoc training inventory and coordinates training with other compliance activities. + Oversees BU Compliance Policy and Procedure, including technology implementation, ensuring required reviews are performed as outlined. + Aggregates BU Compliance reporting updates and consolidates for the RJF CCO reporting. + Oversees the disciplinary tracker to ensure BU Compliance follow-through and consistent disciplinary action for CMA associates aligns with firm-wide policy. + Coordinates the Annual Compliance Questionnaire with BU Compliance, including design and execution on desired technology platform. + Works with BU Compliance to compile CMA inputs for the annual 3120 Reporting. + Works with BU Compliance to design and monitor CMA key risk indicators. + Works with BU Compliance to ensure mandatory absence assessments are completed, and compliance requirements are met. + Works with BU Compliance to ensure third-party supplier risk reviews are conducted. + Effectively multi-task by anticipating and balancing the needs of multiple stakeholders. + Directs administrative and logistical activities, maintaining high standards of quality and detail. + Serves as subject matter expert in core compliance procedures and systems for CMA Compliance business unit teams. + Serves as expert on compliance issues by maintaining proficient knowledge of applicable compliance statutory regulations and interpretations. + Continually evaluates department structure and strategic plan, considering future growth as needed. Promotes overall efficiency while maintaining a commitment to compliance standards and excellent service. + Leads a team of compliance professionals, setting priorities, managing performance, and developing talent + Coaches, trains, and mentors other Compliance associates. + Perform other duties and responsibilities as assigned. **Knowledge, Skills, and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry compliance. + Laws and regulations governing financial services firms. Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies. + Institutional and clearing firm operations. + Financial markets and products. + Investment concepts, practices, and procedures used in the securities industry. + Compliance Risk Management concepts. **Advanced Skill in:** + Planning and scheduling work to meet organizational and regulatory requirements. + Project management skills and experience sufficient to successfully complete long and short-term projects. + Prioritizing multiple, complex work efforts. + Investigating compliances issues and irregularities. + Decision-making, considering rules/regulations, risks, resources, and impacts to business and clients. + Identifying potential stakeholders, up to and including management level, analyzing their expectations and developing strategies for managing stakeholders and their expectations. + Leadership, associate and team development, and consensus building + Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally. + Preparing oral and/or written reports for various audiences in a lucid and effective manner, keeping in mind the purpose of reports. + Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases. **Ability to:** + Work collaboratively, as well as independently, under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities. + Apply strong attention to detail while maintaining a big picture orientation. + Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives. + Establish and communicate clear directions and priorities. + Gather information, identify linkages and trends, and apply findings to operations. + Maintain currency in laws, rules and regulations related to compliance in assigned functional area(s). **Educational/Previous Experience Requirements** + Bachelor’s Degree (B.A./B.S.) in a related discipline required with a Master’s degree preferred. Minimum of ten (10) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry. + Minimum five (5) years management experience within the financial services industry. ~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.