**Job Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision of a comprehensive compliance program for the Capital Markets division. This role requires significant industry expertise, regulatory acumen, and leadership skills to manage compliance functions, ensure adherence to federal, state, and self-regulatory requirements, and mitigate regulatory risks. As a key member of the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive strategic initiatives while managing a team of compliance professionals. **Essential Duties and Responsibilities** + Serve as an integral member of the RJF Compliance Senior Leadership Team, shaping compliance strategy and direction. + Lead the development and implementation of a comprehensive compliance program for Capital Markets, encompassing Equity Investment Banking, Equity Research, Institutional Equity Sales & Trading, Affordable Housing Investments, Fixed Income Sales & Trading, and Public Finance Underwriting. + Manage and develop the Capital Markets Compliance team, providing leadership, mentorship, and strategic oversight. + Identify, assess, and mitigate regulatory risks associated with Capital Markets activities, ensuring adherence to SEC, FINRA, FRB Bank Holding Company, and state securities regulations. + Engage with senior business leaders, providing compliance guidance to support decision-making and operational risk management. + Maintain expertise in securities underwriting, private placements, syndicate matters, Reg M, and electronic trading risks across multiple asset classes. + Oversee the development and execution of compliance programs, policies, and procedures to align with evolving regulatory requirements and industry best practices. + Strategically recruit and develop compliance professionals to support business growth and adapt to changing regulatory landscapes. + Foster a culture of compliance by coaching and mentoring junior team members and implementing targeted training programs. + Conduct ongoing reviews of compliance controls, recommending enhancements to optimize efficiency while maintaining regulatory integrity. + Act as a subject matter expert on Capital Markets compliance, keeping abreast of regulatory updates and industry trends. + Continuously assess department structure and strategic priorities to align with business objectives, ensuring operational excellence. **Advanced Knowledge of:** + Securities industry compliance practices, concepts, and procedures. + SEC, FINRA, FRB Bank Holding Company, and state regulatory frameworks. + Financial markets, investment products, and electronic trading risks. **Advanced Skill in:** + Leadership and collaboration across senior business units. + Strategic planning, risk management, and regulatory analysis. + Compliance investigations and issue resolution. + Effective communication, both written and verbal, across diverse audiences. + Project management, process optimization, and policy development. **Ability to:** + Prioritize and manage multiple complex compliance initiatives in a fast-paced environment. + Provide clear direction and strategic vision while fostering a positive compliance culture. + Identify process improvements to enhance operational efficiency and regulatory adherence. + Lead and mentor a high-performing team, promoting professional growth and development. + Interpret evolving regulatory requirements and implement compliance strategies accordingly. + Collaborate effectively with leadership, regulators, and internal stakeholders to drive compliance excellence. **Educational/Previous Experience Requirements** + Bachelor’s Degree (B.A./B.S.) in a related discipline required with a Master’s degree preferred. Minimum of fifteen (15) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry. + A minimum of ten (10) years of managerial experience with an emphasis on finance and operations, within an investment advisory or management firm. + Ten (10) years of compliance experience preferred. ~or~ + Any equivalent combination of experience, education, and/or training approved by Human Resources. **Licenses/Certifications** + Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred. **Travel** + A minimum of 4-6 times a year to and from NYC to St. Petersburg