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Director, Enterprise Electronic Trading and Controls Compliance

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Raymond James

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Location:
United States , St Petersburg ▼

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Category:
Finance

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Contract Type:
Not provided

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Salary:

130000.00 - 150000.00 USD / Year
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Job Description:

Uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance to support the design, implementation and supervision of a comprehensive electronic trading and controls compliance program, inclusive of SEC Rule 15c3-5 (“the Market Access Rule”). Leads major projects, programs or processes with significant business impact involving cross-functional teams. Supervises others to perform difficult assignments that are broad in nature. 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 to identify, research, analyze and resolve complex issues.

Job Responsibility:

  • Develops and maintains compliance programs, systems, policies and procedures to ensure compliance with electronic trading and controls regulations in the U.S.
  • Organizes and facilitates the enterprise Electronic Trading and Controls Committee on a quarterly basis
  • Designs and executes electronic trading and controls monitoring activities on a recurring frequency
  • Works with RJF Compliance Pillars to appropriately ingest Market Access risks, obligations, and to develop KRIs
  • Uses data and performance indicators to establish control mechanisms and other improvement initiatives, and ensures quality standards are consistently attained or exceeded related to Market Access
  • Works with the Business Unit Compliance teams to develop, review, and assist in adjusting applicable department supervisory procedures to adapt to changing regulatory matters related to Market Access
  • Establishes program requirements for international subsidiaries to provide reporting to RJF
  • Establishes required enterprise electronic trading and controls compliance training to comply with regulatory requirements/expectations
  • Leads and manages all aspects of large, complex projects through their entire project lifecycle (initiation, planning, execution, closure)
  • Reviews electronic trading compliance and risk management controls and recommends appropriate changes, as required
  • Coordinates the preparation and assists applicable U.S. businesses in completing the annual FINRA Market Access 15c3-5 CEO certification
  • Plans, assigns, monitors, reviews, evaluates, and leads the work of others
  • Coaches and mentors subordinate, identifies training needs and recommends appropriate development programs
  • May oversee compliance exception reporting processes and take appropriate action, as required
  • May perform human resource management activities, including identifying performance problems and approving recommendations for remedial action
  • evaluating performance
  • and interviewing and selecting staff
  • Continually evaluates the department structure and strategic plan, considering future growth. Promotes overall efficiency while maintaining a commitment to compliance standards and excellent service
  • Ensures processes and procedures support efficient and timely workflow
  • Performs other duties and responsibilities as assigned

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
  • Advanced Knowledge of: Concepts, practices, and procedures of securities industry compliance
  • Rules and regulations of the Securities Exchange Commission (SEC)
  • Financial Industry Regulatory Authority (FINRA)
  • and state securities regulatory agencies
  • Section 404 of the Sarbanes-Oxley Act of 2002
  • Retail and clearing firm operations
  • Financial markets and products
  • Investment concepts, practices and procedures used in the securities industry
  • Advanced Skill in: Administering regulatory notifications and filings
  • Planning and scheduling work to meet regulatory organizational and regulatory requirements
  • Investigating compliances issues and irregularities
  • Making rule-based and analytical decisions
  • Identifying and applying 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
  • Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases
  • Ability to: 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 laws, rules and regulations related to compliance in assigned functional area (s)
  • Plan, assign, monitor, review, evaluate and lead the work of others, coach, and mentor others
  • Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates
  • Work independently as well as collaboratively within a team environment to resolve problem

Nice to have:

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

Additional Information:

Job Posted:
March 11, 2026

Employment Type:
Fulltime
Work Type:
Hybrid work
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