Compliance Manager- RJ Bank

Job Description Summary

Under intermittent supervision, uses extensive knowledge and skills obtained through education and experience in securities and/or the banking industry to ensure firm policies and procedures are up-to-date and commensurate with the level of risk being mitigated. Works within a specified Business Unit to lead large or multiple projects with significant scope and impact. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with a high level of latitude for un-reviewed actions or decisions. Provides comprehensive solutions to vastly complex problems. Maintains extensive contact with internal customers to identify, research, analyze and resolve very complex issues.

Job Description

Essential Duties and Responsibilities

·        Supports the following components of the  RJ Bank and the Bank Segment compliance programs to ensure compliance processes and procedures are integrated and aligned with business processes:

o   Training program

o   Testing and monitoring

o   Third-party risk management due diligence reviews

o   NMLS registration administration

o   CFPB quarterly reporting

·      Performs compliance testing and monitoring activities, including preplanning, identifying risk-based scope, communicating with business and stakeholders, assessing policies/procedures, transactional testing, and results reporting, for applicable coverage areas.

·        Assists in execution of the Bank Segment training program.

·        Performs third-party due diligence reviews.

·        Administers the NMLS registration program in coordination with RJF Registrations.

·        Conducts quarterly reporting for the CFPB.

·        Assists with development and maintenance of compliance policies and procedures.

·        Supports RJ Bank and the Bank Segment.

·        Assists with adjustments to existing programs, policies, and procedures, as required.

·        Ensures that compliance activities are commensurate with the level of risk being mitigated.

·        Provides escalated support and guidance to compliance efforts in RJ Bank and the Bank Segment.

·        Informs Senior Compliance Management about issues that may involve rule violations or potential liability.

·        Assists management to implement adequate controls and quality assurance processes to detect and address potential compliance problems.

·        Researches compliance issues.

·        Reports compliance program status and activities to compliance and business management.

·        Assists with providing information fo...

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