Job Description Summary

Under intermittent supervision and with a high level of autonomy, uses knowledge and skills obtained through education and experience to build, analyze, and continuously improve the enterprise policy governance program across Raymond James. Leads projects with significant business impact. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with a high level of latitude for un-reviewed actions or decisions. Provides comprehensive solutions to complex problems. Maintains extensive contact with internal customers to identify, research, analyze and resolve complex issues.

Job Description

Essential Duties and Responsibilities

·         Partners with policy owners to develop, review, update, and maintain enterprise policies, standards, and committee charters in accordance with the Enterprise Policy Governance Framework.

·         Coordinates policy lifecycle activities, including drafting, review, approval, publication, maintenance, and periodic review requirements.

·         Facilitates stakeholder review and challenge processes to ensure enterprise policies receive appropriate review and input.

·         Prepares materials to support the review and approval of enterprise policies through governance committees, including the Enterprise Risk Management Committee and, when required, the Board of Directors or its committees.

·         Supports policy publication and communication activities, including documenting and communicating substantive policy changes to associates.

·         Maintains policy governance records, inventories, metrics, and reporting to support effective program administration and oversight.

·         Collaborates with stakeholders to identify policy gaps and support updates driven by regulatory, business, and organizational changes.

·         Supports the administration and continuous improvement of policy governance processes, procedures, and supporting documentation.

·         Performs other duties and responsibilities as assigned.

 

Knowledge of:

·         Policy governance strategy, implementation, and oversight of a firm-wide program.

·         Project management and business process methodologies, tools, and practices.

·         Strategic planning processes and tools and methodologies for strategy formulation.

·         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.

 

Skill in:

·         Experience drafting documents, including reviewing, and editing.

·         Drafting policies.

·         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.

 

Ability to:

·         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.

·         Attend to detail while maintaining a big picture orientation.

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

·         Provide a high level of customer service.

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

 

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

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave.  Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

 

 

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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