Job Information
Raymond James Financial, Inc. Information Technology Compliance Director in St. Petersburg, Florida
Description
Job Summary
Under administrative supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to support the program’s growth and maturity. This role will help to ensure the effective management of IT risk and compliance with regulatory requirements. The successful candidate will have a strong background in risk management, program governance, technology testing (audit), and regulatory compliance to enhance the firm's IT compliance program, driving continuous improvement and excellence
Essential Duties and Responsibilities
Assess the current IT compliance program and supports the strategic roadmap for growth and maturity.
Implements enhancements to the program, ensuring alignment with industry best practices and regulatory requirements.
Collaborates with risk management teams to identify, assess, and mitigate IT-related risks, ensuring alignment with the firm's overall risk management framework.
Develops and maintains a risk-based approach to IT compliance, prioritizing efforts on high-risk areas.
Refines and maintains a governance framework for IT compliance, including policies, procedures, and standards.
Ensures compliance with relevant laws, regulations, and industry standards (e.g., NYDFS, SEC, FINRA, Federal Reserve Bank, GDPR).
Oversees IT Compliance testing activities to ensure compliance with regulatory requirements and industry standards.
Collaborates with internal audit and testing teams to identify and address IT control deficiencies, implementing corrective actions.
Stays current with changing regulatory requirements and industry standards, advising senior management on compliance implications and supporting solutions.
Ensures IT compliance with relevant regulations, such as SOX, HIPAA, and PCI-DSS.
Fosters strong relationships with IT, legal, and business stakeholders to ensure alignment and effective implementation of IT compliance initiatives.
Communicates IT compliance risks and issues to senior management and the board of directors, providing recommendations for improvement.
Performs other duties and responsibilities as assigned.
Qualifications
Knowledge, Skills, and Abilities
Advanced Knowledge of:
IT audit/testing, program governance, and regulatory compliance.
Financial services industry experience strongly preferred.
IT risk management frameworks (e.g., NIST, ISO 27001) and regulatory requirements (e.g., NYDFS, SEC, FINRA, Federal Reserve Bank, GDPR).
IT compliance programs, including policy development, training, and awareness.
Audit and testing methodologies (e.g., SOX, HIPAA, PCI-DSS).
Advanced skill in:
Strong understanding of IT compliance, risk management, and regulatory requirements.
Excellent communication and collaboration skills.
Ability to think strategically and navigate complex organizational structures.
Strong problem-solving and analytical skills.
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).
Work independently as well as collaboratively within a team environment to resolve problem.
Educational/Previous Experience Requirements
Education/Previous Experience
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.
Appropriate series license(s) for assigned functional area preferred.
Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
Job: Compliance
Primary Location: United States
Other Locations: US-FL-St. Petersburg-Saint Petersburg
Organization RJF Corporate
Schedule Full-time
Job Shift Day Job
Travel Yes, 20 % of the Time
Req ID: 2401531