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Compliance Manager

Raymond James

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Location:
United States , Pittsburgh

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Category:
Finance

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Contract Type:
Not provided

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Salary:

Not provided
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Job Description:

Monitor and analyze the organization's operational risk exposure, and contribute to the development of operational risk policies. Analyze existing processes, procedures and systems and advise on improvements.

Job Responsibility:

  • Monitor and analyze the organization's operational risk exposure
  • Contribute to the development of operational risk policies
  • Analyze existing processes, procedures and systems and advise on improvements
  • Ensure firm policies and procedures are up-to-date and commensurate with the level of risk being mitigated
  • Lead large or multiple projects with significant scope and impact
  • Work independently on difficult assignments that are broad in nature requiring originality and ingenuity
  • Provide comprehensive solutions to vastly complex problems
  • Maintain extensive contact with internal customers to identify, research, analyze and resolve very complex issues related to commercial banking and consumer deposits
  • Oversee the compliance program(s) for an assigned business entity to ensure compliance processes and procedures are integrated and aligned with business processes
  • Coach, train, and mentor less experienced Compliance Specialists
  • Serve as a “team lead” for more junior compliance associates including potentially assisting in the talent selection process
  • Review the policies, procedures, and test findings produced by other compliance associates
  • Direct adjustments to existing programs, policies, and procedures, as required
  • Ensure that compliance activities are commensurate with the level of risk being mitigated
  • Provide escalated support and guidance to compliance efforts in assigned business entity
  • Inform Senior Compliance Management about issues that may involve rule violations or potential liability
  • Assist management to implement adequate controls and quality assurance processes to detect and address potential compliance problems
  • Research compliance issues
  • Develop and maintain compliance policies and procedures
  • Develop compliance training programs, including maintaining training records and coordinating training with other compliance activities
  • Report compliance program status and activities to compliance and business management
  • Manage external compliance examinations, ensuring that requested information and reports are provided
  • Make risk-based recommendations to Senior Management using extensive industry knowledge to review products, production, and asset value changes across the firm’s business lines
  • Routinely interact with Executive Leadership, TSC Senior Management, Compliance Directors, Compliance Senior Managers, Compliance Managers and associates, Internal Audit, and Federal Regulators
  • Prepare and deliver written and oral presentations to management

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
  • Knowledge of concepts, practices, and procedures of banking compliance reviews
  • Knowledge of rules and regulations of the Federal Deposit Insurance Corporation (FDIC), Federal Financial Institutions Examination Council (FFIEC), Federal Reserve System, and state banking regulatory agencies
  • Knowledge of principles of banking and finance related to commercial banking, deposits, and treasury management
  • Knowledge of financial markets and products
  • Knowledge of commercial lending
  • Skill in overseeing compliance programs
  • Skill in integrating and aligning compliance processes and procedures with business processes
  • Skill in coordinating complex compliance activities
  • Skill in providing support and guidance for compliance efforts
  • Skill in identifying and implementing controls and quality assurance processes
  • Skill in reviewing materials for compliance with rules and regulations
  • Skill in researching compliance issues
  • Skill in developing compliance training programs
  • Skill in gathering information and preparing oral and written reports
  • Skill in preparing and delivers written and oral presentations
  • Skill in investigating relevant irregularities
  • Skill in making rule-based and analytical decisions
  • Skill in operating standard office equipment and using required software applications
  • Ability to provide training, coaching, and mentoring for others
  • Ability to partner with other functional areas to accomplish objectives
  • Ability to facilitate meetings
  • Ability to attend to detail while maintaining a big picture orientation
  • Ability to gather information, identify linkages and trends, and apply findings to assignments
  • Ability to interpret and apply banking regulations and identify and recommend compliance changes as appropriate
  • Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities
  • Ability to use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels
  • Ability to work independently as well as collaboratively within a team environment
  • Ability to provide a high level of customer service
  • Ability to establish and maintain effective working relationships at all levels of the organization
  • Ability to maintain confidentiality
  • Ability to remain current banking industry rules and regulations and best practices in compliance

Nice to have:

  • Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred
  • Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Additional Information:

Job Posted:
March 10, 2026

Employment Type:
Fulltime
Work Type:
On-site work
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