Department Overview:
Raymond James Financial is a Florida-based diversified holding company, headquartered in St. Petersburg, FL. Raymond James provides financial services to individuals, corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset management.
The Supervision department partners closely with the business to proactively mitigate risk. Our department supports business units by managing activity/account reviews, product oversight, escalation/approvals and governance guided by specialized knowledge. Supervision is committed to supporting and protecting clients and the firm while preserving our culture, and adhering to our core values of client first, conservatism, independence and integrity.
At Raymond James, we are putting the power of perspectives into action and building an inclusive and diverse workforce that reflects our commitment to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships, and continuing education options.
Job Summary:
The Supervision Governance and Reporting team is responsible for ongoing risk mitigation through the identification of areas for change or improvement within the control environment, and the promotion of transparency and accountability through the management of formal governance routines, issues exam management and ongoing reporting. The senior advisor position, supporting the Supervision Business Unit Risk Manager (BURM), will focus on issues management activities, maintenance of the control inventory, and ensuring compliance with enterprise risk management standards and processes.
Guidance is provided to perform varied work that is somewhat difficult in nature. This role requires evaluation, originality and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. Leads defined work or projects of moderate scope and complexity. Maintains extensive contact with internal customers to identify, research, and resolve problems. Escalates to and partners with the BURM for highly sensitive or complex issues. May be assigned other tasks, as needed.
Essential Duties and Responsibilities:
· Manages and tracks issues and action plans owned by PCG Supervision from identification to completion to ensure transparency, accountability and resolution.
· Interfaces with associates of varying levels of seniority to document and manage issues.
· Coordinates with Internal Audit, Compliance Testing, Regulatory Exams and Inquiries Management Compliance and Risk Management for issues and action plans identified outside of PCG Supervision.
· Evaluates existing and new controls with a focus on risk rating, control effectiveness, and sustainability.
· Assist with various enterprise risk management BURM responsibilities including records management, business continuity, supplier risk management, and model risk management.
· Maintains, schedules, and participates in various governance routines.
· Monitors and keeps up to date with regulations regarding financial services and applies them accordingly.
· Provides critical challenge as part of the supervision governance process.
· Performs other duties and responsibilities as assigned.
Department Overview:
Raymond James Financial is a Florida-based diversified holding company, headquartered in St. Petersburg, FL. Raymond James provides financial services to individuals, corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset management.
The Supervision department partners closely with the business to proactively mitigate risk. Our department supports business units by managing activity/account reviews, product oversight, escalation/approvals and governance guided by specialized knowledge. Supervision is committed to supporting and protecting clients and the firm while preserving our culture, and adhering to our core values of client first, conservatism, independence and integrity.
At Raymond James, we are putting the power of perspectives into action and building an inclusive and diverse workforce that reflects our commitment to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships, and continuing education options.
Job Summary:
The Supervision Governance and Reporting team is responsible for ongoing risk mitigation through the identification of areas for change or improvement within the control environment, and the promotion of transparency and accountability through the management of formal governance routines, issues exam management and ongoing reporting. The senior advisor position, supporting the Supervision Business Unit Risk Manager (BURM), will focus on issues management activities, maintenance of the control inventory, and ensuring compliance with enterprise risk management standards and processes.
Guidance is provided to perform varied work that is somewhat difficult in nature. This role requires evaluation, originality and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. Leads defined work or projects of moderate scope and complexity. Maintains extensive contact with internal customers to identify, research, and resolve problems. Escalates to and partners with the BURM for highly sensitive or complex issues. May be assigned other tasks, as needed.
Essential Duties and Responsibilities:
· Manages and tracks issues and action plans owned by PCG Supervision from identification to completion to ensure transparency, accountability and resolution.
· Interfaces with associates of varying levels of seniority to document and manage issues.
· Coordinates with Internal Audit, Compliance Testing, Regulatory Exams and Inquiries Management Compliance and Risk Management for issues and action plans identified outside of PCG Supervision.
· Evaluates existing and new controls with a focus on risk rating, control effectiveness, and sustainability.
· Assist with various enterprise risk management BURM responsibilities including records management, business continuity, supplier risk management, and model risk management.
· Maintains, schedules, and participates in various governance routines.
· Monitors and keeps up to date with regulations regarding financial services and applies them accordingly.
· Provides critical challenge as part of the supervision governance process.
· Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
Knowledge of:
• Strong foundation in supervisory concepts, practices and procedures used in the securities industry, financial markets and financial products.
• Risk management concepts in the financial services industry including issues management, root cause analysis, control risk rating, supplier risk management, business continuity planning, model risk management, and records management.
• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies sufficient to perform the functions of this job.
• Reporting tools and effective presentation of management information.
Skill in:
• Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies.
• Detail orientated to ensure information is clear, concise and accurate.
• Excellent organizational skills and ability to multi-task.
• Excellent writing and presentation skills.
• Operating standard office equipment.
• Preparing and delivering presentations.
• Utilizing business-appropriate phone manners.
Ability to:
• Work independently with minimal direct supervision as well as collaboratively within a team environment.
• Partner with other functional areas to accomplish objectives.
• Attend to detail while maintaining a big picture orientation.
• Interpret and apply securities and/or banking regulations and identify and recommend changes as appropriate.
• Work under pressure on multiple tasks concurrently and meet deadlines.
• Maintain confidentiality.
• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels.
• Establish and maintain effective working relationships at all levels of the organization.
• Provide a high level of professionalism and customer service.
• Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.
Educational/Previous Experience Recommendations:
• Bachelor’s degree (B.A) in a related discipline and a minimum of four (4) years of experience in Supervision and/or the financial services industry.
~or~
• Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications:
• None Required
•Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
Knowledge, Skills, and Abilities:
Knowledge of:
• Strong foundation in supervisory concepts, practices and procedures used in the securities industry, financial markets and financial products.
• Risk management concepts in the financial services industry including issues management, root cause analysis, control risk rating, supplier risk management, business continuity planning, model risk management, and records management.
• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies sufficient to perform the functions of this job.
• Reporting tools and effective presentation of management information.
Skill in:
• Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies.
• Detail orientated to ensure information is clear, concise and accurate.
• Excellent organizational skills and ability to multi-task.
• Excellent writing and presentation skills.
• Operating standard office equipment.
• Preparing and delivering presentations.
• Utilizing business-appropriate phone manners.
Ability to:
• Work independently with minimal direct supervision as well as collaboratively within a team environment.
• Partner with other functional areas to accomplish objectives.
• Attend to detail while maintaining a big picture orientation.
• Interpret and apply securities and/or banking regulations and identify and recommend changes as appropriate.
• Work under pressure on multiple tasks concurrently and meet deadlines.
• Maintain confidentiality.
• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels.
• Establish and maintain effective working relationships at all levels of the organization.
• Provide a high level of professionalism and customer service.
• Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.
Educational/Previous Experience Recommendations:
• Bachelor’s degree (B.A) in a related discipline and a minimum of four (4) years of experience in Supervision and/or the financial services industry.
~or~
• Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications:
• None Required
•Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
• 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 firmAt 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 firmAt 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.