Sr. Analyst – Risk Management

Sr. Analyst – Risk Management

Requirements

• Advanced concepts, practices and procedures of risk management (including Operational Risk Management, Enterprise Risk Management, Regulatory Risk Management)
• Foundational knowledge of Risk and Control Frameworks (COSO, Basel II, etc.)
• In-depth understanding of risk management practices and methodologies, including risk assessments and a solid understanding of internal control and mitigation strategy concepts
• Specific subject matter expertise regarding area of responsibility and a solid business understanding of Raymond James products and services
• Advanced investment concepts, practices and procedures used in the securities industry
• Principles of banking, finance, securities industry operations and products
• Ability to lead cross functional teams with varying degrees of experience
• Demonstrated ability and success in interacting with and influencing senior leadership, including executive management
• Experience in managing against deadlines associated with a risk management engagement
• Strong experience and skill with Microsoft suite of applications
• Strong analytical skills particularly with regard to assessing data and the impact of risks and control weaknesses
• Excellent verbal and written communication skills, with the ability to present complex and sensitive issues to management in a persuasive manner
• Enthusiastic, self-motivated, effective under pressure and willing to take personal risk and accountability
• Proven ability to multitask as well as assess and change priorities
• Ability to work well individually, and in teams, share information, support colleagues and encourage participation
• Critical thinking and problem solving
• Developing and applying policies and procedures
• Identifying trends and implementing appropriate corrective action
• Planning, organizing and conducting risk management projects
• Identifying, analyzing and documenting key business processes and risk management issues
• Align with changing regulatory and business environments in an effort to minimize the firm’s risk exposure while balancing business concerns
• Communicate effectively, both orally and in writing
• Demonstrated ability to clearly present analysis in a written and verbal manner
• Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed
• Ability to define problems, collect data, establish facts and draw valid conclusions
• Attend to detail while maintaining a big picture orientation
• Gather information, identify linkages and trends and apply findings to assignments
• Prepare and deliver clear, effective, and professional presentations
• Establish and maintain effective working relationships at all levels of the organization
• Service provider approach that fosters collaboration and demonstrates a team player mentality
• Work independently as well as collaboratively within a team environment
• Be initiative-taking and demonstrate readiness and ability to initiate action
• Balance conflicting resource and priority demands
• Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment
• Assume full responsibility and accountability for own actions
• Demonstrate uncompromising adherence to ethical principles
• Advanced Microsoft excel skills and general proficiency using Microsoft Office suite

Responsibilities

• Acting as a point of contact for all risk matters across the Operations division, including (but not limited to): audit support, regulatory inquiries & exams, risk & control self-assessments, remediations, risk council
• Communicate & network with various groups throughout the entire firm
• Ability to work independently on large-scale risk projects & initiatives, source from Enterprise Risk, Business Risk & Control, & Operations division
• Provides support to the assigned Operations vertical where risk consult, and effective challenge is needed to deliver credible risk support to the assigned area’s senior leaders and management team
• Facilitates the identification of risks for assigned area and uses judgement to provide an overall opinion on the business unit’s risk profile and adherence to risk programs
• Executes an effective program of continuous monitoring for assigned areas, including monitoring of key metrics to identify control issues and adverse trends as well as recommend mitigation strategies
• Assists in the development and execution of risk and control consulting activities in accordance with internal standards, relevant government statutes and regulations
• Works with business process owners and internal/external auditors to evaluate control deficiencies and develop risk-based solutions to address concerns
• Oversees or leads risk mitigation / project initiative engagements, produces quality deliverables in accordance with both department and professional standards, and proactively advises and assists the business on change initiatives
• Analyzes complex problems, researches and organizes solutions and effectively presents conclusions and recommendations via written and verbal presentations to varied levels within the organization
• Analyzes complex and significant amounts of data to research, validate, solution, and present conclusions and recommendations
• Interprets, applies and recommends changes to organizational policies and procedures
• Establishes strong relationships with senior leaders and related risk and control groups
• Uses excellent communication skills in order to influence a wide range of internal audiences including respective product, function, or executive management partners
• Holds self-accountable for meeting deliverables, adhering to internal criteria and utilizing consistent methodology
• Possesses strong project management and interpersonal skills, makes sound decisions, exhibiting initiative and intuitive thinking
• Maintains currency in relevant risk management processes and procedures and stays up-to-date with evolving industry and regulatory changes impacting assigned business units
• Performs other duties and responsibilities as assigned

Preferred Qualifications

• FINRA SIE and Series 99 – Preferred, but not required.