The Robert Toigo Foundation

Manager of Compliance Risk and Control Governance (ID: 2100904)

Raymond James
May 3, 2021
Saint Petersburg, Florida
Job Type


Please complete your application on the Raymond James online job portal HERE.

Job Summary:

The Manager of Compliance Risk and Control Governance will perform their duties as directed with some level of autonomy,  leveraging compliance risk/ control and banking/financial services knowledge and skills obtained through education, experience, training to administer and manage an assigned compliance function. Specifically duties will focus on developing and administering the process and approach to identify and document the connectivity between regulations, processes, risks, and controls.  In addition this individual will contribute with the development and implementation of a Compliance Risk and Control Self-Assessment and may be cross trained to help support other functions across the Compliance Risk Identification team such as Compliance Supplier Risk. GRC Data Governance or Compliance Issue Management.


Essential Duties and Responsibilities:

  • Applies understanding of operational risk management principles in the identification and documentation of Compliance processes, risks and controls (PRC).
  • Applies knowledge to assist in the identification and documentation of tools and templates required for the collection of data that demonstrates the linkage between regulations, Compliance processes, risks and controls attributes.
  • Assists with defining a quality review and performing a quality review of Compliance process, risk and control documentation.
  • Partner with Compliance Risk Assessment (CRA) team to ensure data collected is documented in a format and level of detail that helps facilitate the CRA process, supports related reporting and aligns to the Governance, Risk and Compliance (GRC) tool.
  • Defines and implements a process to insure documentation is refreshed on a periodic basis.
  • Manages the periodic reporting and updates relative to the documentation of Compliance processes, risk and control related activities.
  • Assists with the development of related standards and procedures
  • Assists with the development, schedule and delivery of training for all impacted parties.
  • Collaborates well with all levels of management.
  • Willing and able to coach, train and mentor others associates.
  • Balances conflicting resource and priority demands.
  • Performs other duties and responsibilities as assigned.

Advanced knowledge of:

  • Concepts associated with the application of an operational risk management framework to a second line of risk management (Compliance)
  • Concepts, practices and procedures of securities industry and/or banking compliance reviews.
  • High level understanding of rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies.

Skilled in:

  • Understanding and application of operational risk management principles
  • Understanding of the components of a compliance program
  • Design of processes, procedures and templates
  • Design decks for management reporting (oral / written reports)
  • Perform efficient and effective control reviews
  • Flexing with changing priorities
  • Strong verbal and written communication
  • Strong collaboration / team player
  • Operating standard office equipment and using required software applications.

Ability to:

  • Partner with other functional areas to accomplish objectives.
  • Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.
  • Attend to detail while maintaining a big picture orientation.
  • Think, speak and solution simply.
  • Gather information, identify linkages and trends and apply findings to assignments.
  • Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
  • Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.
  • Work independently as well as collaboratively within a team environment.
  • Provide a high level of customer service.
  • Establish and maintain effective working relationships at all levels of the organization.
  • Maintain confidentiality.
  • Maintain currency in operational risk best practices.

Educational/Previous Experience Requirements:

  • Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of six (6) years of experience in Compliance and/or the financial services industry.
  • ~or~
  • Any equivalent combination of experience, education, and/or training approved by Human Resources.


  • Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
  • Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

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