Vice President, Operations - Non-Financial Regulatory Reporting - Raymond James Financial : Job Details

Job Description - Vice President, Operations - Non-Financial Regulatory Reporting (2402993)Job Summary:Under administrative direction, and with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience to manage and oversee the non-financial regulatory reporting function for Raymond James. The leader will regularly interact with industry regulators, vendors, compliance and legal. Leads large projects, programs or processes with significant business impact involving cross-functional teams. Influences strategic direction and develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Regular contact with various departments of Raymond James Financial and Senior Management is required, to provide comprehensive solutions to complex problems or needs.Essential Duties and Responsibilities:

• Plans, assigns, monitors, reviews, evaluates and leads the work of subordinate managers and supervisors.
• Performs human resource management activities, including coaching and mentoring subordinates within a performance management culture.
• Coaches and mentors subordinates, identifies training needs, and creates development plans. Interprets, applies and recommends changes to organizational policies and procedures.
• Collaborates with trading, compliance and technology to identify and implement solutions.
• Stays informed of regulatory developments and industry best practices to ensure the non-financial regulatory reporting with FINRA, IRS, SEC, remains current and effective.
• Prepares and presents comprehensive reports and findings to senior management and regulators.
• Responsible for management of multiple vendor relationships, including selection, replacement ongoing oversight and controls.
• Responds to and oversees responses to regulatory inquiries, as needed.
• Establishes objectives with a sense of urgency and develops processes and procedures to ensure efficient and timely work flow.
• Works with product managers and information technology groups to create system requirements that will facilitate processes; moves projects through to implementation.
• Performs periodic reporting on work progress, project completions and additional ad-hoc reporting as required.
• Maintains regular contact with senior manager and other internal customers to identify, research, and resolve issues.
• Ensures effective coordination occurs between assigned functional area(s) and other areas.
• Identifies trends and implements corrective action as necessary.
• Uses financial data and performance indicators to establish control mechanisms and other improvement initiatives.
• Develop and administer policies, procedures, and budget for the department. Ensure policies and procedures are interpreted and carried out properly.
• Performs other duties and responsibilities as assigned.QualificationsKnowledge, Skills, and Abilities:
  • Company's working structure, policies, mission, and strategies.
  • Project management methodology sufficient to act in a sponsorship role.
  • Principles of finance and securities industry operations.
  • Proven experience in compliance, risk or a related field within the financial services industry.
  • Financial industry regulation such as FINRA Consolidated Audit Trail (CAT) and Customer Account Information System (CAIS), Large Options Position Report (LOPR)
  • Financial markets and products.
  • Performance management.Educational/Previous Experience Requirements:
    • Bachelor's Degree (B.A.) in finance, business administration or related field and eight (8) years experience in financial services, including five (5) years in a management position.OR -
      • Any equivalent combination of experience, education, and/or training approved by Human Resources.Licenses/Certifications:
        • SIE required provided that an exemption or grandfathering cannot be applied.
        • Series 99, or ability to obtain within 120 days (as required by FINRA), required #J-18808-Ljbffr