Job Description
This position will follow our hybrid work model; we expect the selected candidate to work 2-3 days a week at our Saint Petersburg, FL, corporate office.
Under direct supervision, uses knowledge and skills obtained through education and/or experience, training, and/or certification, to conduct risk management activities of limited scope and complexity and develop risk profiles in assigned processes within a functional area. Recommends process improvements for departmental and business unit processes and procedures to improve internal controls and mitigation strategies. Guidance is provided to perform varied work that is difficult in character, requiring some evaluation, originality and ingenuity to make decisions. Resolves or recommends solutions to problems. Results are evaluated at agreed-upon milestones for effectiveness. Routine contact with internal and external customers is required to identify, research, and resolve problems.
Essential Duties and Responsibilities
Supports ongoing risk management consulting activities for assigned area of responsibility in accordance with internal standards, relevant government statutes and regulations.
Partners with colleagues and business process owners to evaluate the control environment and develop recommendations to strengthen internal controls and mitigation strategies.
Stays up-to-date with evolving regulatory changes and market events impacting the business.
Develops and maintains an in-depth understanding of business areas, its products, and supporting functions.
Performs data collection and analysis in compliance with program requirements to assist in identifying, analyzing and recommending changes to core business processes to minimize risk.
Assists in performing reviews for assigned areas to identify key controls and mitigation strategies.
Performs evaluations of key controls or remediation activities.
Identifies, reviews, assesses and documents risk management and control issues in assigned business processes.
Assists in preparing written reports and recommendations on the effectiveness of assigned business processes and risk mitigation activities.
Builds and maintains key relationships with stakeholders demonstrating a culture of engagement and assistance.
Performs other duties and responsibilities as assigned.
Knowledge of
Fundamental concepts, practices and procedures of risk management.
Fundamental concepts of financial markets and products.
Skill in
Strong interpersonal skills for interfacing with all levels of management.
Strong analytical skills, particularly with regard to assessing the probability and impact of an internal control weakness.
Enthusiastic, self-motivated, effective under pressure.
Proven ability to manage time and deliver against deadlines.
Ability to
Attend to detail while maintaining a big picture orientation.
Gather information, identify linkages and trends and apply findings to assignments.
Interpret and apply policies and identify and recommend changes as appropriate.
Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.
Meet tight deadlines within budgeted hours.
Work independently, demonstrating initiative and problem solving skills.
Establish and maintain effective working relationships at all levels of the organization.
Provide a high level of customer service.
Licenses/Certifications
None Required
Travel Required
No travel required.
Education
Bachelor's: Accounting, Bachelor's: Actuarial Science, Bachelor's: Applied Mathematics
Work Experience
General Experience - 4 to 6 months
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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