**Job Description** **Job Summary** Under administrative supervision, uses extensive knowledge and skills obtained through education, experience, and/or specialized training in financial services industry information and records management compliance to support the firm’s overall efforts to manage information compliance risk. This role is responsible for collaborating with peers and senior leaders to support the design, implementation and maintenance of the RJF US Books and Records Governance Program. This includes, but is not limited to, leading major projects with enterprise-wide impact, building partnerships with business stakeholders to understand related risks and control activities, defining program strategy and developing tactical plans to achieve desired maturity and sustainability, serving in an advisory and oversight 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. Supervises others on the ICRM team to perform related assignments. **Essential Duties and Responsibilities** + Support the Chief Privacy Officer (CPO) and VP, Books and Records Governance to define and achieve the strategic vision for the corporate Books and Records Program. + Maintain industry knowledge of recordkeeping and privacy laws and regulations, company guidelines and policies, and industry best practices. + Mature and sustain the compliance framework for Books and Records Governance for United States based affiliates. + Serve as a cross-organizational team lead on recordkeeping impact assessments. + Serve as a cross-organizational team lead on recordkeeping projects and initiatives with business and technology partners to translate records requirements into business requirements, conduct oversight and provide subject matter expertise. + Serve as a subject matter expert on business records processes to all departments. + Respond to and assist with records-related inquiries. + Develop and administer policies and procedures for identifying, reporting, and resolving records risks. + Develop, administer and maintain US books and records policies, standards and procedures. + Develop and provide appropriate guidance, education, training and communication to all relevant stakeholders. + Review and assess records-related risk with business partners to identify and address records-related compliance gaps or areas of records risk in support of business requirements. + Recommend process improvements for risk management processes and procedures. + Report on compliance requirements and risks to senior leadership to support risk-based decision making for business initiatives. + Document and maintain a record of identified metrics to track program effectiveness. + Mentor associates with less experience. + Plan, assign, monitor, review, evaluate, and lead the work of others. + Perform other duties and responsibilities as assigned. + Securities licensing preferred **Knowledge, Skills, and Abilities** **Advanced Knowledge of:** + Information Governance processes and functions, including record retention methods and technologies. + Laws and regulations governing financial services firms, with an emphasis on record retention requirements and industry best practices. + Concepts and expectations of prudential regulators. + Diverse businesses associated with a global, diversified Financial Holding Company. + Compliance Risk Management concepts, including Compliance Risk Assessment. + General risk management concepts. **Advanced Skill in:** + Developing and executing strategic and tactical plans related to internal and business-related initiatives. + Decision-making, considering risks, resources, and impacts to business and clients. + Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally. + Prioritizing multiple, complex work efforts to maximize compliance risk mitigation. + Developing and mentoring high performing teams. + Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases. **Ability to:** + Explain complex regulatory and compliance risks and issues to stakeholders. + Reinforce with associates a culture of continued development and self-improvement, and partner actively in development of associates. + Manage all levels of associates to ensure effective and efficient operation of the Books and Records Governance Compliance Department. + Partner with other senior leaders to support regular evaluation and maturation of the Books and Records Governance Program. + Plan, assign, monitor, review, evaluate and lead the work of others. + 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. + Partner with other functional areas to accomplish objectives. + Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels to accomplish objectives. + Work independently as well as collaboratively within a team environment. **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. **Education** **Work Experience** **Certifications** **Travel** Less than 25% **Workstyle** Hybrid 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. \#LI-AF1