**Essential Duties and Responsibilities** + Develops and maintains compliance programs, systems, policies and procedures to ensure compliance with electronic trading and controls regulations in the U.S. + Organizes and facilitates the enterprise Electronic Trading and Controls Committee on a quarterly basis. + Designs and executes electronic trading and controls monitoring activities on a recurring frequency. + Works with RJF Compliance Pillars to appropriately ingest Market Access risks, obligations, and to develop KRIs. + Uses data and performance indicators to establish control mechanisms and other improvement initiatives, and ensures quality standards are consistently attained or exceeded related to Market Access. + Works with the Business Unit Compliance teams to develop, review, and assist in adjusting applicable department supervisory procedures to adapt to changing regulatory matters related to Market Access. + Establishes program requirements for international subsidiaries to provide reporting to RJF. + Establishes required enterprise electronic trading and controls compliance training to comply with regulatory requirements/expectations. + Leads and manages all aspects of large, complex projects through their entire project lifecycle (initiation, planning, execution, closure). + Reviews electronic trading compliance and risk management controls and recommends appropriate changes, as required. + Coordinates the preparation and assists applicable U.S. businesses in completing the annual FINRA Market Access 15c3-5 CEO certification. + Plans, assigns, monitors, reviews, evaluates, and leads the work of others. + Coaches and mentors subordinate, identifies training needs and recommends appropriate development programs. + May oversee compliance exception reporting processes and take appropriate action, as required. + May perform human resource management activities, including identifying performance problems and approving recommendations for remedial action; evaluating performance; and interviewing and selecting staff. + Continually evaluates the department structure and strategic plan, considering future growth. Promotes overall efficiency while maintaining a commitment to compliance standards and excellent service. + Ensures processes and procedures support efficient and timely workflow. + Performs other duties and responsibilities as assigned. **Knowledge, Skills, and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry compliance. + Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies. + Section 404 of the Sarbanes-Oxley Act of 2002. + Retail and clearing firm operations. + Financial markets and products. + Investment concepts, practices and procedures used in the securities industry. **Advanced Skill in:** + Administering regulatory notifications and filings. + Planning and scheduling work to meet regulatory organizational and regulatory requirements. + Investigating compliances issues and irregularities. + Making rule-based and analytical decisions. + Identifying and applying appropriate compliance monitoring procedures and tests. + Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally. + Preparing oral and/or written reports. + 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:** + Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities. + Attend 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). + Plan, assign, monitor, review, evaluate and lead the work of others, coach, and mentor others. + Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates. + Work independently as well as collaboratively within a team environment to resolve problem. **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.