Job Description Summary

Under intermittent supervision, uses extensive knowledge and skills obtained through education and experience in securities and/or the banking industry to support the firm’s overall efforts to manage data privacy risk. Responsible for collaborating with peers and senior leaders in support of the firm’s compliance programs for managing identifying, assessing, mitigating, and monitoring data privacy risks. This includes serving as a privacy advisor to business teams, coordinating compliance functions, acting as a liaison between functional areas, and leading large or multiple projects with significant scope and impact.

Job Description

Essential Duties and Responsibilities

• Maintains industry knowledge with global privacy laws, internal policies and procedures, and industry best practices.

• Manages and supports the Incident Response team with the processing and remediation of potential data privacy incidents reported to Raymond James Incident Management team.

• Serves as a team leader for the Incident Response team, ensuring compliance with Regulatory obligations.

• Serves as a team lead across departments for privacy-related projects and initiatives.

• Collaborates with business and technology partners to identify and address privacy-related compliance gaps or areas of privacy risk, translate, and write privacy requirements into business requirements, oversee privacy-related initiatives and projects.

• Develops and maintains privacy policies, standards, and procedures for identifying, reporting, and resolving privacy risks.

• Manages incoming privacy incidents reviews and if necessary, performs privacy risk assessments on third-party suppliers.

• Work with business partners to identify and address compliance gaps or areas of privacy risk.

• Recommends process improvements for quality assurance and document metrics to track privacy program effectiveness.

• Responds to and assists with privacy-related inquiries.

• Advises Senior Compliance Management on issues that involve possible rule violations and potential liability.

• Reports compliance program status and activities to compliance and business management personnel

• Prepares and delivers written and oral presentations to management.

• Mentors associates with less experience.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

• Knowledge of laws and regulations, and key concepts and attributes of a mature privacy program

• Concepts, practices, and procedures of compliance and risk management, with an emphasis on privacy and data protection

• Knowledge of the securities industry and/or banking compliance.

• Privacy/GRC tools such as OneTrust and IBM Open Pages.

• .

• Rules and regulations of: Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; state banking regulatory agencies.

• Investment concepts, practices and procedures used in the securities industry.

• Principles of banking and finance and securities industry operations.

• Financial markets and products.

Skill in:

• Administering regulatory notification and filings.

• Reviewing materials for compliance with rules and regulations.

• Integrating and aligning compliance processes and procedures with business processes.

• Coordinating complex compliance activities.

• Planning and scheduling work to meet regulatory organizational and regulatory requirements.

• Identifying and applying appropriate compliance monitoring procedures and tests.

• Preparing oral and/or written reports.

• Investigating compliances issues and irregularities.

• Making rule-based and analytical decisions.

• Strong verbal and written communication.

• Operating standard office equipment and using required software applications.

Ability to:

• Work independently while also maintaining extensive contact with relevant internal stakeholders.

• Handle difficult assignments that require originality and ingenuity.

• Provide comprehensive solutions to complex problems.

• Coach and mentor others.

• Partner with other functional areas to accomplish objectives.

• Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.

• Attend to detail while maintaining a big picture orientation.

• Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

• Use appropriate interpersonal styles and communicate effectively, both orally and in writing, at all organizational levels.

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

• Establish and maintain effective working relationships at all levels of the organization.

• Maintain confidentiality.

• Maintain currency in laws, rules and regulations related to compliance in assigned functional area.

• Interpret and apply policies and identify and recommend changes as appropriate.

• Quantitatively and/or qualitatively process data.

• Formulate and implement department strategies consistent with long-term company goals.

• Promote team cohesiveness, cooperation, and effectiveness.

Educational/Previous Experience Requirements

• Bachelor’s degree (B.A. /B.S.)  and a minimum of six (6) years of experience in Compliance and/or the financial services industry preferred.

~or~

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

• None Required.

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Education

Work Experience

Certifications

Travel

Less than 25%

Workstyle

Hybrid

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

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates.  When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. 

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