IT Compliance Senior Manager (Financial Services)

Location: Saint Petersburg, Florida, United States; hybrid workstyle; travel less than 25%

Company

A financial services firm operating across securities, banking, retail, and clearing activities.

What you will do

• Execute annual and targeted regulatory assessments and monitor IT issue progress, changes, exceptions, and potential regulatory impacts.
• Review IT policies and standards annually and recommend changes to senior management.
• Research regulatory updates, assess their impact, and develop communication plans for affected teams.
• Develop IT compliance metrics, reporting, monitoring processes, and tests to improve compliance functions and operational efficiency.
• Advise clients and staff on compliance issues and represent the department on committees and projects.
• Investigate and resolve complex issues in coordination with internal customers, regulatory agencies, and other functional areas.

Requirements

• At least eight years of experience in compliance and/or the financial services industry, or an equivalent combination of experience, education, and training approved by Human Resources.
• Bachelor’s degree in any field, or an equivalent combination of experience, education, and training approved by Human Resources.
• Advanced knowledge of securities and banking compliance, information technology and information security controls and regulations, retail and clearing firm operations, financial markets and products, and investment concepts.
• Advanced knowledge of OCC, SEC, FINRA, state securities regulatory agency requirements, and Section 404 of the Sarbanes-Oxley Act of 2002.
• Advanced skills in regulatory planning and scheduling, compliance investigation, analytical and rule-based decision-making, compliance monitoring procedures and testing, reporting, written and verbal communication, and project management.
• Ability to manage multiple concurrent tasks and deadlines, maintain attention to detail, identify trends and linkages, and work under pressure in a changing environment.
• Ability to communicate priorities, facilitate meetings, maintain confidentiality, work independently and collaboratively, and partner with other functional areas.

Nice to have

• Additional licenses or certifications demonstrating knowledge of industry regulations and concepts.

Culture & Benefits

• Hybrid workstyle with less than 25% travel.
• Benefits may include medical, dental, vision, life, critical illness, accident, and disability insurance.
• Retirement savings, paid vacation, holidays, sick leave, and parental leave may be available.
• Culture emphasizes developing professionally, collaborating, making pragmatic decisions, delivering accountable results, and continuous improvement.
• People-first environment focused on respect for individual backgrounds and equal employment opportunity.