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Compliance Director, Controls & Testing - Req. 1602499


Job Summary:

Under general direction, with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certifications, to develop a comprehensive, enterprise-wide testing program that links eventually to the enterprise risk assessment. Specifically, leading, reviewing, coordinating, and executing an independent testing program from planning to close, including communication of findings and interaction with Business Unit Chief Compliance Officers and senior management. This role will manage others in performing assignments that are broad in nature with appreciable latitude for unreviewed actions or decisions.

Essential Duties and Responsibilities:

• Develops and executes a robust testing program for RJF Corporate Compliance in accordance with Internal Audit standards, relevant government statutes and regulations.

• Oversees multiple audit engagements concurrently from planning through reporting and produce quality deliverables to both business unit/function and professional standards.

• Applies comprehensive expertise in one or more of the firm's businesses and leverages this knowledge into a leadership role in one or more teams.

• Directly manages staff and performs human resource management activities, including identifying performance problems and developing plans for remedial action; evaluating performance; and interviewing and selecting staff.

• Establishes strong relationships with senior management.

• Uses excellent communication skills in order to influence a wide range of internal audiences including respective product, function, or senior management partners.

• Meets deliverables whilst adhering to Quality Assurance criteria and utilizing consistent methodology.

• Finalizes test findings and uses judgment to provide an overall opinion on the control environment and communicates audit findings to management and identifies opportunities for improvement in the design and effectiveness of key controls.

• Implements and executes an effective program of continuous monitoring for assigned areas, including monitoring of key metrics to identify control issues and adverse trends.

• Possesses strong project management and interpersonal skills, makes sound decisions, exhibiting initiative and intuitive thinking.

• Participates in major business initiatives and pro-actively advises and assists the business on change initiatives.

• Stays up-to-date with evolving industry and regulatory changes impacting the business.

*Applicants will need to obtain Series 7 within one (1) year of hire date.


Knowledge, Skills, and Abilities:

• In-depth understating of audit practices and methodologies, including risk assessment and a solid understanding of internal control concepts.

• Specific subject matter expertise regarding control disciplines and a solid business understanding of Raymond James products and services.

• Managing direct reports including managers and senior auditors.

• Demonstrated ability and success in interacting and influencing senior leadership, including executive management.

• Strong analytical skills particularly in regard to assessing the probability and impact of a control weakness.

• Excellent verbal and written communication skills, with the ability to present complex and sensitive issues to management in a persuasive manner.

• Proven ability to multitask as well as assess and change priorities.

• Ability to work well individually, and in teams, share information, support colleagues and encourage participation.

Educational/Previous Experience Recommendations:

  • Bachelor’s Degree in Business Administration, Finance, Accounting and a minimum of ten (10) years’ experience in the securities industry as a business analyst or consultant or as an auditor with a certified public accounting firm or an equivalent combination of education, training or experience.
  • Five years of controls testing experience in a Compliance/Risk environment
  • ~or~
  • Any equivalent combination of experience, education, and/or training approved by Human Resources.


*Applicants will need to obtain Series 7 within one (1) year of hire date.

• CAMS, CIA, CFSA, CPA, or any other Auditing Certifications preferred.