Information Technology Compliance Director

Description

Job Summary

Under administrative supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to support the program's growth and maturity. This role will help to ensure the effective management of IT risk and compliance with regulatory requirements. The successful candidate will have a strong background in risk management, program governance, technology testing (audit), and regulatory compliance to enhance the firm's IT compliance program, driving continuous improvement and excellence

Essential Duties and Responsibilities

• Assess the current IT compliance program and supports the strategic roadmap for growth and maturity.

• Implements enhancements to the program, ensuring alignment with industry best practices and regulatory requirements.

• Collaborates with risk management teams to identify, assess, and mitigate IT-related risks, ensuring alignment with the firm's overall risk management framework.

• Develops and maintains a risk-based approach to IT compliance, prioritizing efforts on high-risk areas.

• Refines and maintains a governance framework for IT compliance, including policies, procedures, and standards.

• Ensures compliance with relevant laws, regulations, and industry standards (e.g., NYDFS, SEC, FINRA, Federal Reserve Bank, GDPR).

• Oversees IT Compliance testing activities to ensure compliance with regulatory requirements and industry standards.

• Collaborates with internal audit and testing teams to identify and address IT control deficiencies, implementing corrective actions.

• Stays current with changing regulatory requirements and industry standards, advising senior management on compliance implications and supporting solutions.

• Ensures IT compliance with relevant regulations, such as SOX, HIPAA, and PCI-DSS.

• Fosters strong relationships with IT, legal, and business stakeholders to ensure alignment and effective implementation of IT compliance initiatives.

• Communicates IT compliance risks and issues to senior management and the board of directors, providing recommendations for improvement.

• Performs other duties and responsibilities as assigned.

Qualifications

Knowledge, Skills, and Abilities

Advanced Knowledge of:

• IT audit/testing, program governance, and regulatory compliance.

• Financial services industry experience strongly preferred.

• IT risk management frameworks (e.g., NIST, ISO 27001) and regulatory requirements (e.g., NYDFS, SEC, FINRA, Federal Reserve Bank, GDPR).

• IT compliance programs, including policy development, training, and awareness.

• Audit and testing methodologies (e.g., SOX, HIPAA, PCI-DSS).

Advanced skill in:

• Strong understanding of IT compliance, risk management, and regulatory requirements.

• Excellent communication and collaboration skills.

• Ability to think strategically and navigate complex organizational structures.

• Strong problem-solving and analytical skills.

Ability to:

• 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.

• Attend to detail while maintaining a big picture orientation.

• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.

• Establish and communicate clear directions and priorities.

• Gather information, identify linkages and trends, and apply findings to operations.

• Maintain currency in laws, rules and regulations related to compliance in assigned functional area (s).

Work independently as well as collaboratively within a team environment to resolve problem.

Educational/Previous Experience Requirements

Education/Previous Experience

• 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.

• Appropriate series license(s) for assigned functional area preferred.

• Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.

Job: Compliance

Primary Location: United States

Other Locations: US-FL-St. Petersburg-Saint Petersburg

Organization RJF Corporate

Schedule Full-time

Job Shift Day Job

Travel Yes, 20 % of the Time

Req ID: 2401531