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# Strategy Governance and Reporting Compliance Manager

- **Company:** Raymond James Financial, Inc.
- **Location:** Memphis, TN, United States
- **Experience:** Expert
- **Contract:** Permanent contract
- **Skills:** Software Applications, Systems Integration, Smartsheet
- **Published:** October 15, 2026
- **Apply:** https://dejobs.org/x/x/CF1A82E28D5B47408E61453FF251418F/job/

## About the Role

* 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., * 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

* 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.