Raymond James Investment Services | IT Compliance Manager

We are seeking an experienced IT Compliance Manager to support our programme\’s growth and maturity under administrative supervision.

Role Overview:

In this pivotal role, you will leverage your extensive knowledge and skills to ensure effective management of IT risk and compliance with regulatory requirements. The ideal candidate will possess a strong background in risk management, programme governance, technology testing (audit), and regulatory compliance, contributing to the enhancement of our IT compliance programme.

Key Responsibilities:

• Assess and support the strategic roadmap for the current IT compliance programme.
• Implement enhancements to ensure alignment with industry best practices and regulatory requirements.
• Collaborate with risk management teams to identify, assess, and mitigate IT-related risks.
• Develop and maintain a risk-based approach to IT compliance, focusing on high-risk areas.
• Coordinate incident investigation efforts across IT, IT Service Desk, and the cyber threat centre.
• Refine and maintain a governance framework for IT compliance, including policies, procedures, and standards.
• Ensure compliance with relevant laws, regulations, and industry standards (e.g., NYDFS, SEC, FINRA, GDPR).
• Oversee IT compliance testing activities to meet regulatory requirements and industry standards.
• Work with internal audit and testing teams to identify and address IT control deficiencies.
• Stay updated on changing regulatory requirements and advise senior management on compliance implications.
• Foster strong relationships with IT, legal, and business stakeholders to ensure effective implementation of IT compliance initiatives.
• Communicate IT compliance risks and issues to senior management and the board, providing recommendations for improvement.
• Perform other duties as assigned.

About You:

• Bachelor’s degree in a related discipline is required; a master’s degree is preferred.
• Minimum of ten (10) years of experience in Compliance, Legal, Banking, and/or regulatory roles within the financial services industry.
• At least five (5) years of management experience in the financial services sector, or an equivalent combination of experience, education, and training.
• Proficient in IT audit/testing, programme governance, and regulatory compliance.
• Strong understanding of IT risk management frameworks (e.g., NIST, ISO 27001) and regulatory requirements (e.g., DORA, FCA, FINRA, GDPR).
• Experience in developing IT compliance programmes, including policy development and training.
• Excellent communication and collaboration skills, with the ability to think strategically and navigate complex organisational structures.
• Strong problem-solving and analytical skills.

About us: Raymond James Investment Services is a wealth management firm focused on providing trusted advice and tailored, personalised investment services. We believe if we do what’s right for clients, we’ll help them achieve success while also realising our own. Our parent company, Raymond James Financial, has been doing the same in the US for over six decades. Raymond James is listed on the NYSE, is a Fortune 500 company, and is included in the S&P 500.

Why Join Us?

Join our dynamic team dedicated to delivering exceptional service in the UK wealth management industry. Be part of a forward-thinking organisation that values your expertise and encourages professional development. We offer a supportive environment where your contributions will make a real impact.

At Raymond James we honour, value and respect the uniqueness, experiences, and backgrounds of all our people. When individuals bring their best self to work, our organisation, clients, and communities all thrive. This is a key part of our people-first culture. We are an equal opportunities employer, and we make all employment decisions purely on the basis of merit and business needs.