Director, Compliance - Privacy and Data Protection - Req. 1900589
Under general direction from the Chief Privacy Officer of Raymond James Financial, Inc., uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in Data Privacy and Protection (DPP) to design, implement and oversee a comprehensive DPP compliance program. Leads major projects, programs or processes with significant business impact. Influences strategic direction and develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Maintains extensive contact with customers and regulatory to identify, research, analyze and resolve complex issues.
Essential Duties and Responsibilities:
• Support the Chief Privacy Officer (CPO) to define and achieve the strategic vision for the corporate DPP Program.
• Develops and maintains DPP compliance programs, systems, policies and procedures to ensure compliance with federal, state and self-regulatory regulations. Minimizes the firm’s risk exposure while balancing business concerns.
• Serve as a cross-organizational team lead on privacy and data protection reviews and assessments.
• Serve as a subject matter expert on privacy and data protection across the firm
• Serves as the primary liaison between the organization and industry regulators by responding to inquiries, audits, complaints and investigations.
• Reviews DPP compliance and risk management controls and recommends appropriate changes, as required.
• Serves as an expert on DPP compliance issues by maintaining proficient knowledge of applicable DPP compliance statutory U.S. and Key international regulations and interpretations.
• Continually evaluates department structure and strategic plan, considering future growth as needed. Promotes overall efficiency while maintaining a commitment to DPP compliance standards and excellent service.
• Ensures processes and procedures support efficient and timely work flow.
• Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
Advanced knowledge of:
• DPP laws and regulations applicable to a U.S. Based global Financial Institution
• DPP industry best practices and frameworks – including security, cyber security and records management
• Concepts, practices, framework and procedures for heightened standards for compliance management and risk management systems.
• DPP Risk assessment methods
• Awareness on Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.
• Investment concepts, practices and procedures used in the securities industry.
• DPP legal and regulatory analysis and policy change management
• DPP program management administration
• Execution of DPP risk assessments
• Planning and scheduling work to meet regulatory organizational and regulatory requirements.
• Investigating DPP compliances issues and irregularities.
• Making rule-based and analytical decisions.
• Identifying and organizing 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.
• 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.
• Attend to detail while 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 DPP laws, rules and regulations related to compliance in assigned functional area (s).
• Work independently as well as collaboratively within a team environment to resolve problem.
Educational/Previous Experience Requirements:
• 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.
• Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
Raymond James Guiding Behaviors
At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to enable them to deliver on the firm's core values of client-first, integrity, independence and have a conservative, long-term view.
We expect our associates at all levels to:
- Grow professionally and inspire others to do the same
- Work with and through others to achieve desired outcomes
- Make prompt, pragmatic choices and act with the client in miind
- Take ownership and hold self and others accountable for delivering results that matter
- Contribute to the continuous evolution of the firm