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# Director, Compliance IT

- **Company:** Raymond James Financial, Inc.
- **Location:** St. Petersburg, FL, United States
- **Experience:** Expert
- **Contract:** Permanent contract
- **Skills:** Artificial Intelligence, Software Applications, Spreadsheets, Cloud Computing, Cyber Security, Databases, Information Technology
- **Published:** August 30, 2026
- **Apply:** https://www.financialjobbank.com/job.asp?id=3369786698&tx=TT4542TYD&pt=1&aff=0B19D771-A501-4A5E-8338-2A822B784D54&utm_source=Job%20Feed&utm_medium=textkernel&utm_campaign=DE&utm_term=0B19D771-A501-4A5E-8338-2A822B784D54

## About the Role

* 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., * Any equivalent combination of experience, education, and/or training approved by Human Resources., * Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.

## Description

* Oversees the Technology Compliance Program and Governance Framework.
 * Drives the ongoing development of applicable methodology(s) used across the Information Technology Compliance program to ensure global consistency and scalability.
 * Advises senior leadership on emerging technology compliance risks and regulatory expectations.
 * Conducts compliance risk assessments across technology, cybersecurity, data privacy, AI, cloud, and third-party risk domains.
 * Develops and ensures appropriate execution of IT compliance monitoring and testing activities.
 * Leads regulatory change management and evaluate the impact of new regulatory requirements.
 * Partners closely with Information Technology, Information Security, Privacy, Legal, Enterprise Risk, Internal Audit, and business leadership to ensure regulatory compliance while maintaining independent oversight of first line activities.
 * Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced Knowledge of:

 * Concepts, practices, and procedures of securities industry and banking compliance.
 * Information Technology and Information Security controls and regulations
 * Rules and regulations of the Office of the Comptroller of the Currency (OCC), 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:

 * 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 applications 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.
 * Maintain attention to detail while also 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 problems.


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