Director, Enterprise Electronic Trading and Controls Compliance

Under limited supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance to support the design, implementation and supervision of a comprehensive electronic trading and controls compliance program, inclusive of SEC Rule 15c3-5 (“the Market Access Rule”). Leads major projects, programs or processes with significant business impact involving cross-functional teams. Supervises others to perform difficult assignments that are broad in nature.

Influences strategic direction and develops tactical plans and completes complex assignments with substantial latitude for un‑reviewed actions or decisions. Maintains extensive contact with customers to identify, research, analyze and resolve complex issues.

• 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.

• 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.

• Administering regulatory notifications and filings.
• Planning and scheduling work to meet regulatory organizational and regulatory requirements.
• Investigating compliance 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…