**Essential Duties and Responsibilities** + Partners with policy owners in creating and updating enterprise policies to ensure continued alignment with regulatory obligations. This includes facilitating: + The enterprise policy review and drafting process. + Vetting discussions with key senior stakeholders (defined by policy owners) to ensure comprehensive review of enterprise policies. + Review and approval of enterprise policies at the Enterprise Risk Management Committee and when required the RJF Board of Directors or a subcommittee thereof. + Publication of policies, noting key substantive changes to all associates, including international subsidiaries. + Collaborates with Stakeholders to create and update policies resulting from firm-wide enterprise policy governance gap analysis and needs assessment based on rules, regulations, and obligations of the Raymond James business model. + Plays a role in the compliance reporting processes, including exception reporting, and approves corrective actions. + Works with the Compliance Training team to ensure enterprise policy requirements are accurately and consistently communicated in Compliance Trainings. + May coach, train, and mentor others Compliance associates. + Establishes objectives and develops processes and procedures to ensure adherence to all regulatory requirements. + Monitors and reviews reporting, audits and compliance correspondence. + Partners with business units to recommend policy and process changes to Senior Management. + Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems. + Serves as a resource on compliance issues to clients and staff. + May serve as a compliance liaison on various committees and projects representing the interest of the department. + Research regulatory updates to identify linkages and trends and apply findings. + Performs other duties and responsibilities as assigned. **Knowledge, Skills, and Abilities** **Advanced Knowledge of:** + Policy governance strategy, implementation, and oversight of a firm-wide program. + Project management and business process methodologies, tools, and practices. + Strategic planning processes and tools and methodologies for strategy formulation. + Compliance obligations, industry rules and regulations, and legal general procedures in the financial services industry. + Concepts, practices, and procedures of the financial services industry. + Bank holding company and retail broker dealer clearing firm operations. **Skill in:** + Experience drafting documents, including reviewing, and editing. + Drafting policies. + Excellent written and verbal communications skills to professionally address a wide and varied audience, including executive management, both internally and externally. + Organizational and time management skills sufficient to handle multiple priorities in a fast paced and ever-changing environment. + Project management skills and experience sufficient to successfully complete long and short-term projects. + Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases. **Ability to:** + Partner with other functional areas to accomplish objectives. + Organize, prioritize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment. + Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels to accomplish objectives. + Work independently as well as collaboratively within a team environment. + Attend to detail while maintaining a big picture orientation. **Educational/Previous Experience Requirements** + Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of eight (8) years of experience in Compliance and/or 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.