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# IT Compliance Senior Manager

- **Company:** Raymond James Financial, Inc.
- **Location:** St. Petersburg, FL, United States
- **Experience:** Expert
- **Contract:** Permanent contract
- **Skills:** Software Applications, Spreadsheets, Databases, Information Technology
- **Published:** October 18, 2026
- **Apply:** https://www.financialjobbank.com/job.asp?id=3462138888&tx=ZT2625TTD&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.) and a minimum of eight (8) 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

* Executes regulatory assessments both annual and targeted.
 * Executes ongoing monitoring of IT issue progress and changes, escalates as needed.
 * Participate in annual review of IT policies and standards and recommend required changes to Senior Management.
 * 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 impacts, develop and deliver appropriate communication plans to impacted teams.
 * Aids in the ongoing identification of process improvement opportunities to streamline IT Compliance functions to deliver process efficiencies.
 * Establish objectives and develop processes for ongoing monitoring of IT exceptions and potential impacts on regulatory compliance.
 * Performs periodic reporting on compliance issues as required.
 * Lead the ongoing development of IT Compliance metrics and reporting.
 * 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.
 * Partner with other functional areas to accomplish objectives.
 * Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.
 * Maintain confidentiality.