Compliance Director, Privacy

Job Description Summary

Under administrative supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to support the firm’s overall efforts to manage data privacy risk. This role is responsible for collaborating with peers and senior leaders in support of the firm’s compliance programs for managing the privacy regulatory control framework and facilitating core compliance pillar activities to identify, assess, mitigate and monitor data privacy risks. This includes but is not limited to 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.

Job Description

Essential Duties and Responsibilities

• Support the Chief Privacy Officer (CPO) to define and achieve the strategic vision for the corporate Privacy Program.

• Maintain industry knowledge of global privacy laws, company guidelines and policies, and industry best practices.

• Serve as a cross-organizational team lead on privacy reviews and assessments.

• Serve as a cross-organizational team lead on privacy-related projects and initiatives with business and technology partners to translate privacy requirements into business requirements, conduct oversight, and provide subject matter expertise.

• Serve as a subject matter expert on privacy to all departments.

• Respond to and assist with privacy-related inquiries.

• Develop and administer policies and procedures for identifying, reporting, and resolving privacy risks.

• Develop, administer and maintain privacy policies, standards and procedures.

• Develop and maintain the privacy regulatory control framework.

• Develop and provide appropriate guidance, education, training and communication to all relevant stakeholders.

• Review and assess privacy-related risk with business partners to identify and address privacy-related compliance gaps or areas of privacy risk in support of business requirements.

• Recommend process improvements for risk management processes and procedures.

• Document and maintain a record of identified metrics to track privacy program effectiveness.

• Respond to regulatory agencies, as applicable.

• Mentor associates with less experience.

• Perform other duties and responsibilities as assigned.

• CIPP/US or equivalent data privacy subject matter certification preferred.

• Familiarity with Privacy/GRC tools such as OneTrust and IBM Open Pages recommended.

Knowledge, Skills, and Abilities

Advanced Knowledge of:

• Concepts, practices, and procedures of securities industry and/or banking compliance.

• Rules 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.

• Investment concepts, practices and procedures used in the securities industry.

• Principles of banking and finance and securities industry operations.

• Financial markets and products.

Advanced skill in:

• Administering regulatory notification and filings.

• Planning and scheduling work to meet regulatory organizational and regulatory requirements.

• Identifying and applying appropriate compliance monitoring procedures and tests.

• Preparing oral and/or written reports. 

• Investigating compliances issues and irregularities.

• Making rule-based and analytical decisions.

• Strong verbal and written communication.

• Operating standard office equipment and using required software applications.

Ability to:

• Coach and mentor others.

• 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.) 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.

~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.

Education

Work Experience

Certifications

Salary Range

$130,000.00-$140,000.00

Travel

Less than 25%

Workstyle

Remote

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

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates.  When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. 

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