Compliance Senior Manager, Executive Reporting and Strategy

About this role

Job Description Summary Under general supervision, uses extensive knowledge and skills obtained through experience, specialized training and/or certification to support executive reporting, strategy and planning for Raymond James’ Compliance department and other internal partners as applicable. Support the Compliance organization and its leadership through executive reporting and communications, coordination of high-impact initiatives, and support for Compliance strategic planning and execution. The role leads preparation and coordination of materials for key Board and executive governance forums, works across Compliance to facilitate alignment and execution of leadership priorities, and provides thoughtful analysis and recommendations to support decision-making. The position requires strong judgment, communication, collaboration, and the ability to influence outcomes across functions without direct authority.

Job Description Essential Duties and Responsibilities

• Lead the coordination and development of materials supporting the Chief Compliance Officer’s participation in Board and executive governance forums, synthesizing information from across Compliance, anticipating questions and follow-up needs, and ensuring materials are timely, accurate, clear, and responsive to leadership expectations.

• Partner with the VP responsible for Compliance strategy to support development, communication, and execution of Compliance priorities, including coordinating information across Compliance leadership, developing executive-level presentations and reporting, and helping translate strategic priorities into clear deliverables and actions.

• Identify themes, dependencies, and opportunities for alignment across Compliance initiatives and bring observations and recommendations forward to support strategic planning and decision-making.

• Build effective relationships across Compliance and other functions to coordinate complex initiatives, drive alignment among stakeholders, surface issues requiring resolution, and help ensure leadership priorities advance on a timely basis.

• Manage and create quarterly governance reports for Compliance leadership, highlighting key initiatives and escalating risks to management.

• Develop in-depth, executive-level talking points and support materials for Compliance leadership’s quarterly governance meetings.

• Collaborate with cross-functional teams to gather, validate and analyze Compliance data to ensure accuracy and completeness.

• Develop and maintain reporting templates and tools to streamline and continuously improve recurring reporting processes.

• Monitor reporting timelines and ensure all deliverables meet internal deadlines and quality standards.

• Identify opportunities for process improvements and automation within the reporting function.

• Support ad hoc reporting requests and special projects as directed by Compliance leadership.

• Routinely interacts with senior leaders within Compliance, Risk, AML and across the firm.

• May represent the Compliance department on cross-functional projects as they arise.

• Prepares and delivers written and oral presentations to management and other stakeholders.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced knowledge of: • Effective reporting and communicating complex information.

• Concepts, practices, and procedures of securities industry and/or banking compliance.

• Rules and regulations of: Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies.

Advanced skill in: • Gathering, streamlining and communicating complex information in a digestible way.

• Creating reports, presentations and talking points for senior leaders.

• Writing, editing and proofreading.

• Making rule-based, analytical and strategic decisions.

• Providing support and guidance for compliance efforts. 

• Reviewing materials for compliance with rules and regulations.

• Researching compliance issues.

• Microsoft PowerPoint, Word, Excel and SharePoint.

Ability to: • See projects through from conception to successful execution.

• Absorb unfamiliar topics quickly and translate into executive-ready materials.

• Attend to detail while maintaining a big picture orientation.

• Partner with other functional areas to accomplish objectives.

• Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.

• Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.

• Prioritize tasks and pivot quickly when necessary.

• Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

• Work independently as well as collaboratively within a team environment.

• Seek and implement constructive feedback.

• Troubleshoot problems and proactively suggest solutions.

• Provide a high level of customer service.

• Establish and maintain effective working relationships at all levels of the organization.

• Maintain currency in laws, rules and regulations related to compliance in assigned functional area.

• Quantitatively and/or qualitatively process data.

• Maintain confidentiality.

Educational/Previous Experience Requirements

• Bachelor’s degree (B.A. /B.S.)  and a minimum of eight (8) 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

The total compensation for this position includes base salary or wages, and may include components such as a

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