Compliance Manager- Supplier Risk (Remote Option Available) in St. Petersburg, FL at honor foundations

Date Posted: 9/3/2024

Job Snapshot

Job Description

Job Summary

Under intermittent supervision, uses extensive knowledge and skills obtained through education and experience in securities and/or the banking industry to support the firms overall efforts to manage data privacy risk. Responsible for collaborating with peers and senior leaders in support of the firms 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.

Essential Duties and Responsibilities

%26middot; Maintain industry knowledge with global privacy laws, internal policies and procedures, and industry best practices.

%26middot; Serve as a team lead across departments for privacy-related projects and initiatives.

%26middot; Collaborate 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.

%26middot; Develop and maintain privacy policies, standards, and procedures for identifying, reporting, and resolving privacy risks.

%26middot; Manage incident management case load and if necessary perform privacy risk assessments on potential incidents.

%26middot; Work with business partners to identify and address compliance gaps or areas of privacy risk.

%26middot; Recommend process improvements for quality assurance and document metrics to track privacy program effectiveness.

%26middot; Respond to and assist with privacy-related inquiries.

%26middot; Prepares and delivers written and oral presentations to management.

%26middot; Mentor associates with less experience.

%26middot; Performs other duties and responsibilities as assigned.

Job Requirements

Knowledge, Skills, and Abilities
Knowledge of:

%26middotConcepts, practices, and procedures of compliance and risk management, with an emphasis on privacy and data protection

%26middotKnowledge of the securities industry and/or banking compliance.

%26middotPrivacy/GRC tools such as OneTrust and IBM Open Pages.

%26middotRules 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.

%26middotInvestment concepts, practices and procedures used in the securities industry.

%26middotPrinciples of banking and finance and securities industry operations.

%26middotFinancial markets and products.

Skill in:

%26middotAdministering regulatory notification and filings.

%26middotPlanning and scheduling work to meet regulatory organizational and regulatory requirements.

%26middotIdentifying and applying appropriate compliance monitoring procedures and tests.

%26middotPreparing oral and/or written reports.

%26middotInvestigating compliances issues and irregularities.

%26middotMaking rule-based and analytical decisions.

%26middotStrong verbal and written communication.

%26middotOperating standard office equipment and using required software applications.

Ability to:

%26middotWork independently while maintaining extensive contact with relevant internal stakeholders.

%26middotHandle difficult assignments that require originality and ingenuity.

%26middotProvide comprehensive solutions to complex problems.

%26middotCoach and mentor others.

%26middotPartner with other functional areas to accomplish objectives.

%26middotFacilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.

%26middotAttend to detail while maintaining a big picture orientation.

%26middotWork under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

%26middotUse appropriate interpersonal styles and communicate effectively, both orally and in writing, at all organizational levels.

%26middotEstablish and maintain effective working relationships at all levels of the organization.

%26middotMaintain confidentiality.

%26middotMaintain currency in laws, rules and regulations related to compliance in assigned functional area.

%26middotInterpret and apply policies and identify and recommend changes as appropriate.

%26middotQuantitatively and/or qualitatively process data.

%26middotFormulate and implement department strategies consistent with long-term company goals.

%26middotPromote team cohesiveness, cooperation, and effectiveness.

Educational/Previous Experience Requirements
Education/Previous Experience

Bachelor%26rsquos Degree (B.A./B.S.) in a related discipline 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%26rsquos knowledge/expertise in industry regulation and concepts preferred.

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