Director, Enterprise Electronic Trading and Controls Compliance

** Essential Duties and Responsibilities*
* + Develops and maintains compliance programs, systems, policies and procedures to ensure compliance with electronic trading and controls regulations in the U.S.

+ Organizes and facilitates the enterprise Electronic Trading and Controls Committee on a quarterly basis.

+ Designs and executes electronic trading and controls monitoring activities on a recurring frequency.

+ Works with RJF Compliance Pillars to appropriately ingest Market Access risks, obligations, and to develop KRIs.

+ Uses data and performance indicators to establish control mechanisms and other improvement initiatives, and ensures quality standards are consistently attained or exceeded related to Market Access.

+ Works with the Business Unit Compliance teams to develop, review, and assist in adjusting applicable department supervisory procedures to adapt to changing regulatory matters related to Market Access.

+ Establishes program requirements for international subsidiaries to provide reporting to RJF.

+ Establishes required enterprise electronic trading and controls compliance training to comply with regulatory requirements/expectations.

+ Leads and manages all aspects of large, complex projects through their entire project lifecycle (initiation, planning, execution, closure).

+ Reviews electronic trading compliance and risk management controls and recommends appropriate changes, as required.

+ Coordinates the preparation and assists applicable U.S. businesses in completing the annual FINRA Market Access 15c3-5 CEO certification.

+ Plans, assigns, monitors, reviews, evaluates, and leads the work of others.

+ Coaches and mentors subordinate, identifies training needs and recommends appropriate development programs.

+ May oversee compliance exception reporting processes and take appropriate action, as required.

+ May perform human resource management activities, including identifying performance problems and approving recommendations for remedial action; evaluating performance; and interviewing and selecting staff.

+ Continually evaluates the department structure and strategic plan, considering future growth. Promotes overall efficiency while maintaining a commitment to compliance standards and excellent service.

+ Ensures processes and procedures support efficient and timely workflow.

+ Performs other duties and responsibilities as assigned.

** Knowledge, Skills, and Abilities*
* ** Advanced Knowledge of:*
* + Concepts, practices, and procedures of securities industry compliance.

+ Rules and regulations of the Securities Exchange Commission (SEC);
Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.

+ Section 404 of the Sarbanes-Oxley Act of 2002.

+ Retail and clearing firm operations.

+ Financial markets and products.

+ Investment concepts, practices and procedures used in the securities industry.

** Advanced Skill in:*
* + Administering regulatory notifications and filings.

+ Planning and scheduling work to meet regulatory organizational and regulatory requirements.

+ Investigating compliances issues and irregularities.

+ Making rule-based and analytical decisions.

+ Identifying and applying appropriate compliance monitoring procedures and tests.

+ Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.

+ Preparing oral and/or written reports.

+ Project management skills and experience sufficient to successfully complete long and short-term projects.

+ Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases.

** 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).

+ Plan, assign, monitor, review, evaluate and lead the work of others, coach, and mentor others.

+ Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates.

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

** 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…