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# Compliance Sr. Manager, Enterprise Policy Governance

- **Company:** Raymond James Financial, Inc.
- **Location:** St. Petersburg, FL, United States
- **Experience:** Expert
- **Contract:** Permanent contract
- **Skills:** Software Applications, Spreadsheets, Databases
- **Published:** October 12, 2026
- **Apply:** https://www.indeed.com/viewjob?jk=729faa83cf019336

## About the Role

* Excellent written and verbal communications skills to professionally address a wide and varied audience, including executive management, both internally and externally.

 * Organizational and time management skills sufficient to handle multiple priorities in a fast paced and ever-changing environment.

 * Project management skills and experience sufficient to successfully complete long and short-term projects.

 * Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Ability to:

· Partner with other functional areas to accomplish objectives.

· Organize, prioritize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.

· Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels to accomplish objectives.

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

· Attend to detail while maintaining a big picture orientation.

Educational/Previous Experience Requirements

 * Bachelor's Degree (B.A./B.S.) in a related discipline and a minimum of eight (8) years of experience in Compliance and/or the financial services industry.

~or~

 * 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 policy owners in creating and updating enterprise policies to ensure continued alignment with regulatory obligations. This includes facilitating:
 * The enterprise policy review and drafting process.
 * Vetting discussions with key senior stakeholders (defined by policy owners) to ensure comprehensive review of enterprise policies.
 * Review and approval of enterprise policies at the Enterprise Risk Management Committee and when required the RJF Board of Directors or a subcommittee thereof.
 * Publication of policies, noting key substantive changes to all associates, including international subsidiaries.
 * Collaborates with Stakeholders to create and update policies resulting from firm-wide enterprise policy governance gap analysis and needs assessment based on rules, regulations, and obligations of the Raymond James business model.
 * Plays a role in the compliance reporting processes, including exception reporting, and approves corrective actions.
 * Works with the Compliance Training team to ensure enterprise policy requirements are accurately and consistently communicated in Compliance Trainings.
 * May coach, train, and mentor others Compliance associates.
 * Establishes objectives and develops processes and procedures to ensure adherence to all regulatory requirements.
 * Monitors and reviews reporting, audits and compliance correspondence.
 * Partners with business units to recommend policy and process changes to Senior Management.
 * Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.
 * Serves as a resource on compliance issues to clients and staff.
 * May serve as a compliance liaison on various committees and projects representing the interest of the department.
 * Research regulatory updates to identify linkages and trends and apply findings. Performs other duties and responsibilities as assigned.
*

Advanced Knowledge of:

 * Policy governance strategy, implementation, and oversight of a firm-wide program.

 * Project management and business process methodologies, tools, and practices.

 * Strategic planning processes and tools and methodologies for strategy formulation.

 * Compliance obligations, industry rules and regulations, and legal general procedures in the financial services industry.

 * Concepts, practices, and procedures of the financial services industry.

 * Bank holding company and retail broker dealer clearing firm operations.

Skill in:

 * Experience drafting documents, including reviewing, and editing.

 * Drafting policies.