Strategy Governance and Reporting Compliance Manager
Work modehybrid
Typefull-time
SenioritySenior
Experience6+ yrs
DepartmentPCG & Asset Management Compliance
EquityIncluded
Company size10,000+ people
PostedSep 25, 2026 · 2w ago
Verified live1d ago
At a glanceSummarised by Seekless from the posting.
Knowledge of concepts, practices, and procedures of securities industry and/or banking compliance reviews
Knowledge of rules and regulations of SEC, FINRA, state securities regulatory agencies, and/or FDIC, OCC, FFIEC, OTS, Federal Reserve System, and state banking regulatory agencies
Knowledge of fundamental investment concepts, practices and procedures used in the securities industry
Knowledge of principles of banking and finance and securities industry operations
Knowledge of financial markets and products
Skill in integrating and aligning compliance processes and procedures with business processes
Skill in coordinating complex compliance activities
Skill in providing support and guidance for compliance efforts
Skill in identifying and implementing controls and quality assurance processes
Skill in reviewing materials for compliance with rules and regulations
Skill in researching compliance issues
Skill in developing compliance training programs
Skill in gathering information and preparing oral and written reports
Skill in preparing and delivering written and oral presentations
Skill in investigating relevant irregularities
Skill in making rule-based and analytical decisions
Skill in operating standard office equipment and using required software applications
Skill in creating detailed desk procedures that standardize workflows, enhance process transparency, and support effective execution of controls and regulatory requirements
Ability to provide a high level of customer service
Ability to partner with other functional areas to accomplish objectives
Ability to facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed
Ability to attend to detail while maintaining a big picture orientation
Ability to gather information, identify linkages and trends, and apply findings to assignments
Ability to interpret and apply securities and/or banking regulations and identify and recommend compliance changes as appropriate
Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities
Ability to use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels
Ability to work independently as well as collaboratively within a team environment
Ability to establish and maintain effective working relationships at all levels of the organization
Ability to maintain confidentiality
Ability to maintain currency in securities and/or banking industry rules and regulations and best practices in compliance
None Required (licenses/certifications)
Bachelor's degree (B.A. /B.S.) and a minimum of six (6) years of experience in Compliance and/or the financial services industry preferred
Working knowledge of Smartsheet
Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred
Any equivalent combination of experience, education, and/or training approved by Human Resources
Skills
Smartsheet
Benefits
Medical
Dental
Vision
Life insurance
Critical illness insurance
Accident insurance
Disability benefits
Retirement savings
Paid time off
Parental leave
Job Description Summary
Under intermittent supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to administer and manage assigned compliance functions and key initiatives within PCG & Asset Management Compliance (PAC). As part of the Strategy, Governance & Reporting team, the position focuses on issues management, regulatory change management, exam coordination, books and records management, and the identification and mitigation of emerging risks. The Strategy, Governance & Reporting team is responsible for prioritizing and executing enterprise-wide compliance initiatives; standardizing processes and procedures; developing scalable solutions and technology platforms; and delivering strategic reporting to senior leadership across all PAC verticals. This role is responsible for resolving or recommending solutions to complex issues, leading defined projects of moderate scope, and driving workstream execution. This position involves significant collaboration with internal stakeholders to identify, research, and resolve issues, while proactively escalating highly complex or sensitive matters to leadership as appropriate. Additional responsibilities may be assigned as needed.
Job Description
Essential Duties and Responsibilities
•
Partners with PCG & Asset Management Compliance stakeholders in strategic compliance initiatives related to issues, regulatory changes, or emerging risks.
•
Manages and tracks issues and action plans owned by PCG & Asset Management Compliance from identification to completion to ensure transparency, accountability, and resolution.
•
Interfaces with associates of varying levels of seniority to document and manage issues, regulatory changes, books and records, exam coordination, and emerging risks.
•
Coordinates with Internal Audit, Compliance Testing, Regulatory Exams and Inquiries Management Compliance and Risk Management for issues and action plans identified outside of PCG & Asset Management Compliance.
•
Assists in coordinating with PCG & Asset Management teams to ensure accurate, complete, and timely status updates are received for issues, regulatory changes, and emerging risks.
•
Prepares and delivers written and oral presentations to management as needed.
•
Participates in projects/initiatives as needed.
•
Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities
Knowledge of:
•
Concepts, practices, and procedures of securities industry and/or banking compliance reviews.
•
Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies.
•
Fundamental investment concepts, practices and procedures used in the securities industry.
•
Principles of banking and finance and securities industry operations.
•
Financial markets and products.
Skill in:
•
Integrating and aligning compliance processes and procedures with business processes.
•
Coordinating complex compliance activities.
•
Providing support and guidance for compliance efforts.
•
Identifying and implementing controls and quality assurance processes.
•
Reviewing materials for compliance with rules and regulations.
•
Researching compliance issues.
•
Developing compliance training programs.
•
Gathering information and preparing oral and written reports.
•
Preparing and delivering written and oral presentations.
•
Investigating relevant irregularities.
•
Making rule-based and analytical decisions.
•
Operating standard office equipment and using required software applications.
•
Creating detailed desk procedures that standardize workflows, enhance process transparency, and support effective execution of controls and regulatory requirements.
•
Working knowledge of Smartsheet, preferred
Ability to:
•
Provide a high level of customer service.
•
Partner with other functional areas to accomplish objectives.
•
Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.
•
Attend to detail while maintaining a big picture orientation.
•
Gather information, identify linkages and trends, and apply findings to assignments.
•
Interpret and apply securities and/or banking regulations and identify and recommend compliance changes as appropriate.
•
Work 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 writing, with all organizational levels.
•
Work independently as well as collaboratively within a team environment.
•
Provide a high level of customer service.
•
Establish and maintain effective working relationships at all levels of the organization.
•
Maintain confidentiality.
•
Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance.
Educational/Previous Experience Requirements
•
Bachelor’s degree (B.A. /B.S.) and a minimum of six (6) years of experience in Compliance and/or the financial services industry preferred.
~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.
Education
Work Experience
Certifications
Travel
Less than 25%
Workstyle
Hybrid
Benefits
The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.
About the company
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.