**Essential Duties and Responsibilities** + Oversees elements of the RJ Bank compliance program(s) to ensure regulatory requirements are addressed, including: + Insider Lending Program + Transactions with Affiliates Program + Manages the Compliance training by collaborating with RJF Compliance and the Organization Training and Development Team to create and develop training content for applicable coverage areas. + Maintains RJ Bank’s sound compliance management system standards while fostering positive business relationships with business counterparts, and second and third-line functions. + Establishes objectives and develops processes and procedures to ensure adherence to regulatory requirements. + Ability to manage and perform risk-based compliance testing. + Ability to determine matters requiring escalation to RJ Bank compliance management and ability to do so with the appropriate level of urgency. + Assists management to implement appropriate controls to detect and address potential compliance problems. + Excellent communications skills; May present to and interact with RJ Bank Board of Directors and Executives Officers + Researches regulatory updates to identify relevant changes and provides advice and guidance to the business + Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems. + Balances conflicting resource and priority demands. + Performs other duties and responsibilities as assigned. **Knowledge, Skills, and Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance. + Rules and regulations of the Federal Deposit Insurance Corporation (FDIC); Federal Financial Institutions Examination Council (FFIEC); Federal Reserve Board (FRB); Consumer Financial Protection Bureau (CFPB), and state banking regulatory agencies + Knowledge of Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; Office of the Comptroller of the Currency (OCC) regulations is beneficial but not required + Knowledge of Investment concepts, practices and procedures used in the securities industry is beneficial but not required + Principles of banking and finance and securities industry operations. + Financial markets and products. **Advanced skill in:** + Integrating and aligning compliance processes and procedures with business processes. + Coordinating complex compliance activities + Reviewing materials for compliance with rules and regulations + Reviewing and providing feedback regarding others associates’ work + Researching regulatory and compliance topics + Conducting compliance testing and monitoring + Developing compliance training courses + Acquiring information and preparing oral and written reports + Delivering written and oral presentations + Investigating compliance irregularities + Making rule and risk-based analytical decisions + Operating standard office equipment and using required software applications **Ability to:** + 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 writing, with 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 eight (8) 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.