- Regulatory rules, forms, reporting, and guidance for establishing custody and clearing relationships, and broker-dealer best practices to include, but are not limited to:•
- Bachelor's Degree (B.A.) in related field with a minimum of three (3) years of relevant analysis experience in the financial services field
- Any equivalent combination of experience, education, and/or training as approved by Human Resources.
- Series 7 and Series 66 or 65 Preferred
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- 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
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Sr Risk Analyst, Due Diligence - Orlando, United States - Raymond James
Description
Job DescriptionDescription
Job Summary:
Under general supervision, uses knowledge and skills, obtained through education and/or Registered Investment Advisor (RIA) and introducing broker dealer (IBD) training, to conduct risk management activities of limited scope and complexity to support
the RIA & Custody Services (RCS) Division .
Duties include assisting with administering RCS framework to identify, analyze, measure, and report key business risks specifically related to independent RIAs and introducing broker-dealers (IBDs) that clear and custody with Raymond James.
Guidance is provided to perform varied work that is difficult in character requiring some evaluation, originality, and ingenuity to make moderately complex decisions.
Essential Duties and Responsibilities:
·
Conduct appropriate due diligence related to new business through the review of prospective and existing RIA and IBD clients and their authorized agents seeking access to the Raymond James platform.
Supports risk and control efforts for RCS in accordance with internal standards, relevant government statutes and regulations
.
·
Partners with colleagues and business process owners to facilitate the identification of risks as they relate to the custody and clearing business andusesjudgmentinprovidingopinionsandrecommendations
as appropriate
·
Develops documentation related to various risk issues to enhance business policies and/or procedures.
·
Staysup-to-datewithevolvingregulatorychangesandmarketeventsimpacting custodians, clearing firms,
RIAs, and IBDs.
·
Performsongoinganalysisofrisktrendsthroughbusinessmonitoringandexecutionofrisk
assessments with a particular focus on custody and clearing.
·
Developsandmaintainsanin-depthunderstandingof custody and clearing business,itsproducts,andsupporting f unctions.
·
Performs data collection and analysis in compliance with program requirements to assist in identifying,analyzing,andrecommendingchanges,helpingtominimizeriskinbusinessprocesses.
·
Assistsinperformingreviewsandrecommendingkeycontrols
and mitigation strategies.
·
Buildsandmaintainskeyrelationshipswithstakeholdersdemonstratingacultureofengagementand
assistance.
·
Performs other duties and responsibilities as assigned.
Qualifications
Qualifications:
Knowledge of:
·
Fundamentalconcepts,practices,andproceduresofriskmanagementandrisk assessment as it relates to the custodial and clearing business.
·
Fundamentalconceptsoffinancialmarketsand
products, including market and entity identifiers.
·
Fundamentalconcepts of custody and clearing relationships and related controls, policies, and procedures
Skill in:
·
Workingunderstandingoffinancialservices and operationalrisk,andregulatory
controls.
·
FINRA requirements related to establishing a clearing relationship.
·
Workswellindividually,andinteams,sharesinformation,supportscolleagues,andencourages
participation.
·
Excellentverbalandwrittencommunicationandinterpersonalskillswiththeabilitytopresent complex and sensitive issues to senior management and influence change.
·
Stronganalyticalskills,particularlywithregardtoassessingtheprobabilityandimpactofaninternal control weakness.
·
Provenabilitytobuildstrongrelationshipswithstakeholders,learnquickly,beflexibleandthink
strategically.
·
Provenabilitytobeabletomulti task ,completeprojectsontimeandonbudget,andbeabletoadapt to changing priorities.
·
Enthusiastic,self-motivated,effectiveunder pressure.
·
Evaluatingkeycontrolsandmitigationstrategieswithinbusiness
processes.
·
Preparingwrittenreportsanddeliveringoral presentations.
Ability to:
·
Quickly grasp risk theories and concepts, analyze data, and exhibit sound judgment and problem-solving skills.
·
Organize,manage,andtrackmultipledetailedtasksandassignmentswithfrequentlychanging priorities in a fast-paced work environment.
·
Meettightdeadlineswithinbudgeted
hours.
·
Workindependently,demonstratinginitiativeandproblem-solving skills.
·
Provideahighlevelofcustomer
service.
Educational/Previous Experience Requirements:
Licenses/Certifications:
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.
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.
Raymond James & Associates, Inc., member / , and Raymond James Financial Services, Inc., member / , are subsidiaries of Raymond James Financial, Inc.
New York Stock Exchange SIPC FINRA SIPCRaymond James and Raymond James Financial are registered trademarks of Raymond James Financial, Inc.
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