Director, US Books and Records Compliance Program - 100 Raymond James & Associates : Job Details

Director, US Books and Records Compliance Program page is loadedDirector, US Books and Records Compliance ProgramApply locations Remote New York - United States time type Full time posted on Posted 2 Days Ago job requisition id R-0006154

Job Description Summary

With limited supervision, use demonstrated leadership skills and knowledge of financial services industry regulatory obligations and operations and records management compliance to manage tactical program objectives aligned with the global records management and information compliance risk strategies. This role is responsible for achieving positive outcomes through people leadership, collaboration with business stakeholders, and building influence across the organization to support the ongoing maturation and maintenance of the RJF US Books and Records Program. This includes, but is not limited to, tactical and aspirational management of the US BRG team and shaping US program strategy and developing tactical plans to achieve desired maturity and sustainability. Other key responsibilities include building partnerships with business stakeholders to understand business records control activities providing program advice, guidance, and oversight across the organization, or leading large or multiple projects with significant scope and impact.

Job Description

Essential Duties and Responsibilities

• Support the VP, Books and Records Governance to achieve the strategic vision for the corporate Books and Records Program

• Manage and develop US Books and Records program personnel

• Mature and sustain the compliance framework for Books and Records Governance for United States based affiliates.

• Serve as a subject matter expert on business records requirements and program obligations

• Respond to and assist with records-related inquiries

• Develop, administer and maintain US books and records policies, standards and procedures

• Develop and provide appropriate guidance, education, training and communication to all relevant stakeholders

• Review and assess records-related risk with business partners to identify and address compliance gaps or risk mitigation steps

• Maintain industry knowledge of recordkeeping laws and regulations, company requirements, and industry best practices

• Report to leadership on program objectives and observations

• Perform other duties and responsibilities as assigned

• Securities licensing preferred

Knowledge, Skills, and Abilities

Advanced Knowledge of:

• Records Management processes and functions, including record retention methods and technologies

• Laws and regulations governing financial services firms, with an emphasis on record retention requirements and industry best practices

• Concepts and expectations of prudential regulators for businesses associated with a global, diversified Financial Holding Company

• Compliance Risk Management concepts

Advanced Skill in:

• Leadership, associate and team development, and consensus building

• Tactical execution of strategic initiatives

• Decision-making, considering risks, resources, and impacts to business and clients.

• Written and verbal communications to wide and varied audiences

• Prioritizing multiple, complex work efforts

Ability to:

• Interpret and explain complex regulatory and compliance risks and issues to stakeholders

• Manage associates to ensure effective and efficient operation of the US Books and Records Program

• Reinforce a culture of continued development and self-improvement and actively participate in associate development

• Partner with stakeholders for regular evaluation and maturation of the program

• Work collaboratively 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 in writing, with all organizational levels to accomplish objectives

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.

Travel

• If remote, quarterly visits to the corporate headquarters for 3-5 days

*Salary Range can differ depending on location*

Education

Work Experience

Certifications

Salary Range

$130,000.00-$150,000.00

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.

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