Corporate Governance Manager

Overview

Under limited supervision, uses specialized knowledge and skills obtained through experience, specialized training and certification to perform a variety of advanced corporate and regulatory support activities, including entity management and Federal Reserve entity reporting for Raymond James and its subsidiaries. Activities include corporate governance and entity management (consents, director/officer updates, state filings), Federal Reserve entity reporting (FRY-10), and administering and updating a database (hCue) containing information relating to over 300 Raymond James subsidiaries.

The Corporate Governance Manager is part of a team of attorneys and paralegals performing these activities and serves as a technical advisor to the team and others within the firm. Extensive contact across the Raymond James organization and business lines, regulatory agencies, and external service providers is required.

• Lead subsidiary governance and entity management activities across the Raymond James enterprise, including board and shareholder actions, consents and resolutions, director and officer changes, state filings, and entity formations, restructurings, and dissolutions, ensuring compliance with internal governance standards and regulatory requirements. Performs these functions in support of the Corporate Secretary, General Counsel and Board of Directors engaging with each in the process.
• Serve as a subject matter expert and technical advisor on corporate governance, legal entity management, and related regulatory obligations, providing guidance to attorneys, paralegals, business partners, and other stakeholders across the firm.
• Oversee Federal Reserve legal entity structure reporting, including FR Y-10 event-driven reporting and annual FR Y-6 review and confirmation processes, coordinating closely with Legal, Compliance, and Regulatory Reporting to ensure timely, accurate, and well-documented submissions.
• Administer and govern the firm’s entity management system (hCue), ensuring data accuracy, completeness, and integrity for over 300 subsidiaries; establish data standards, controls, and reporting capabilities to support governance, regulatory, and audit needs.
• Manage relationships with external service providers and regulators, including registered agents and entity management vendors (e.g., CT Corporation), acting as the primary liaison for state filings, system support, and third-party coordination.
• Develop, maintain, and enhance governance frameworks, policies, and documentation, including pre-approved templates, procedures, and best practices for corporate governance, entity management, and regulatory reporting, while promoting effective work practices and contributing to team leadership and continuous improvement initiatives.

• Preparing corporate and transactional documents.
• Corporate governance and entity management, preferably working with an organization with substantial number of legal entities.
• Administering an entity management database (e.g., hCue) or equivalent skill.
• Developing policies and procedures, and providing training to various stakeholders, relating to the areas of responsibility.
• Communicating with regulators/state authorities in connection with corporate governance/entity management responsibilities.
• Assisting with various corporate governance activities (e.g., mergers, dissolutions, formations).
• Maintaining information in an automated documentation/case management system.
• Banking and securities legal research.
• Operating standard office equipment and using required software applications.

• Exercise sound judgment and discretion in handling highly confidential governance, regulatory, and board-related information.
• Lead, coach, and develop governance professionals, providing guidance, feedback, and oversight to ensure high-quality, compliant work products.
• Apply strong analytical and critical thinking skills to interpret governance, corporate, and regulatory documentation and assess enterprise-level implications.
• Interpret, apply, and enhance governance policies and frameworks, identifying risks, gaps, and opportunities for continuous improvement.
• Manage…