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Job Description

Job Summary:

Under direction of the SVP, Head of Prudential Regulatory Relations, work directly with regulators and internal stakeholder to oversee the firm’s interactions with its prudential (bank and bank holding company) regulators, including the Federal Reserve Bank of Atlanta, the Federal Reserve Bank of Cleveland, the banking/trust regulators of the States of Florida, Pennsylvania and New Hampshire, the OCC, FDIC and CFPB. This role will be highly visible within the firm, through contact with executive management and various departments of Raymond James in support of successful execution of the firm’s prudential regulatory relations strategy.

Responsibilities:

• The firm’s holding company (NYSE: RJF) is a bank holding company which owns two state, Fed member banks: Raymond James Bank (RJB) (Florida charter) and TriState Capital Bank (TSC) (Pennsylvania charter) and two Trust companies: Raymond James Trust (RJT) and Raymond James Trust Company of NH (RJTCNH). In this regulatory context

• With the SVP, Head of Prudential Regulatory Relations, act as the firm’s primary point of contact with all prudential regulators, including the Fed’s CPC (Central Point of Contact)

• Builds strong relationships with the CPC and other regulators with a focus on maintaining the firm’s credibility and culture of transparency

• Schedules and coordinates regulatory exams of RJF, TSC, RJB, RJT and RJTCNH.

• Facilitates regulatory monitoring activities and supervisory planning, including tracking exam findings and responses to regulatory inquiries

• Supports regulator continuous monitoring documentation and meeting requests

• Assist in preparing regular reporting and updates for executive management and the Board regarding regulatory exams, inquiries and other regulatory developments

• Coordinates with members of executive management regarding exams, inquiries and related regulatory expectations

Skills

• Administering regulatory exams, ad hoc and continuous monitoring activities

• Planning and scheduling work to meet regulatory organizational and regulatory requirements

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

• Operating standard office equipment and using required software applications, including database applications and regulatory agency systems

Ability to

• Attend to detail while maintaining a big picture orientation

• 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

• Partner with other functional areas to accomplish objectives.

• Work independently as well as collaboratively within a team environment

• Escalate, as needed

• Establish and maintain effective working relationships at all levels of the organization

• Maintain confidentiality

Education/Previous Experience

• Bachelor’s Degree (B.A./B.S.) in a related discipline required

• Project management

• Minimum of eight (8) years of Compliance, Risk, Legal, Banking and/or regulatory experience in the financial services industry

or

• Any equivalent combination of experience, education, and/or training approved by Human Resources

Education

Bachelor’s: Business Administration

Work Experience

General Experience – 10 to 15 years

Certifications

Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Travel

Less than 25%

Workstyle

Hybrid

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.

We expect our associates at all levels to:

• Grow professionally and inspire others to do the same

• Work with and through others to achieve desired outcomes

• Make prompt, pragmatic choices and act with the client in mind

• Take ownership and hold themselves and others accountable for delivering results that matter

• Contribute to the continuous evolution of the firm

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

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