VP, Compliance Training - Req. 1901772
Under general direction and with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience to build, analyze, and continuously improve the enterprise Compliance Training Program across Raymond James. Creates, directs and manages the overall strategy and ongoing execution of compliance based learning and development processes as applicable across the organization. Leads projects, programs & processes with significant cross-functional business impact.
Provides comprehensive solutions and escalates problems (when appropriate). Extensive contact with senior management, external clients, and vendors is required to identify research and resolve complex issues and provide comprehensive solutions to challenges and changing regulatory requirements and organizational development structures.
Consults and collaborates with senior leaders across the Firm on compliance learning topics and best practices for implementation and successful completions.
Essential Duties and Responsibilities:
• Oversees the firm wide compliance training needs assessment process and partners with compliance department leaders, HR Talent Development and key business stakeholders to identify and shape compliance training topics and priorities, curriculum calendars, and when compliance training or certification is required.
• Oversees the enterprise Compliance Training Program. Executes strategy to incorporate emerging compliance risks and regulatory trends into the training curriculum and makes recommendations on the most effective way to deliver training to compliance, business, and other key audiences of the Firm. Training topics may be generated by the annual Compliance Risk Assessment, regulatory change management, identified compliance risk issues, and testing results.
• Oversees and manages the overall governance and standards for firm wide compliance training, continuing education firm element programs, as well as compliance training coverage over areas of the firm governed by regulations and obligations.
• Executes compliance training standards for the organization and ensure implementation and measurement of objectives. Develops a consequence management escalation standards and procedures if required compliance training is not completed.
• Defines and implements an appropriate suite of metrics and reporting to measure the effectiveness of the compliance training curriculum and success of completion rates across the organization.
• Chairs the Enterprise Compliance Training Oversight Group to drive standards, topics, calendars, prioritization and escalation related to compliance training.
• Leads and manages all aspects of large, complex projects through their entire project lifecycle (initiation, planning, execution, closure).
• Develops and sponsors tactics to achieve strategic objectives across functional groups or within a business group.
• Establishes objectives and develops processes and procedures to ensure efficient and timely work flow.
• Serves as a member of the leadership team in developing short and long term goals and initiatives to achieve strategic vision for the training in the compliance department.
• Represents Compliance on major firm level projects and/or initiatives.
• Lead a team of training/compliance professionals; provide coaching, mentoring and performance management for direct reports.
• Performs human resource management activities, including identifying performance problems and approving recommendations for remedial action; evaluating performance; and interviewing and selecting staff.
• Plans, assigns, monitors, reviews, evaluates and leads the work of subordinate supervisors.
• Coaches and mentors subordinates, identifies training needs and recommends appropriate development programs.
• Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
• Learning and Development measurement
• Project management and business process methodologies, tools and practices.
• Strategic planning processes and tools and methodologies for strategy formulation.
• Facilitation and presentation skills
• 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.
• Aligning strategic and operational needs with learning & development solutions and linking initiatives to drive results.
• Managing the delivery of compliance training learning and development solutions through a mix of internal, contract and third-party outsourced resources
• 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.
• Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates.
• Plan, assign, monitor, review, evaluate and lead the work of others; coach and mentor others.
• 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.
• 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.
Educational/Previous Experience Requirements:
• Bachelor’s Degree (B.A.) in Business, Finance or Economics required with a Master’s or law degree preferred. Minimum of fifteen (15) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry.
• Minimum eight (8) years management experience within the financial services industry.
• Graduate degree and expertise in quantitative analysis and substantial leadership experience preferred.
• An equivalent combination of education, experience and/or training as approved by Human Resources.
• NOT REQUIRED.
Raymond James Guiding Behaviors
At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and 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 mind
- • Take ownership and hold themselves and others accountable for delivering results that matter
- • Contribute to the continuous evolution of the firm