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Job Description

Job Summary

Under general direction, uses knowledge and skills obtained through education and experience to effectively lead assigned risk and control assessment and quality assurance discipline(s), translate business strategy into comprehensive assessment programs and manages the work of others in conducting risk assessments in a variety of functional areas. Leads projects, programs, or processes with significant business impact involving cross-functional departments. Leads others in work that is broad by nature with significant scope. Provides comprehensive solutions to complex problems. End results are evaluated to ensure goals and objectives are achieved. Extensive contact with internal and external clients in identifying, researching, analyzing, and resolving complex issues.

Essential Duties and Responsibilities

+ Supports leadership in communicating the objectives and results of assessment programs to management, regulators, and the Board of Directors.

+ Supports positive change through leadership, sound analysis, and demonstrated subject matter expertise.

+ Leads individual team and/or assigned individual(s) and collaborates extensively with peer risk areas to ensure a cohesive approach.

+ Leads risk and control and quality assurance program execution for assigned areas of responsibility, across multiple business areas, in accordance with internal standards, relevant government statutes and regulations.

+ Leads multiple engagements concurrently from planning through reporting and produces quality deliverables in accordance with both department and professional standards.

+ Directly manages assigned staff and performs human resource management activities, including identifying performance problems and approving recommendations for remedial action; evaluating performance; and interviewing and selecting staff.

+ Attracts, develops, and retains talent within the Business Risk & Control Office organization and the Firm.

+ Builds and maintains strong relationships with senior leaders and related control groups.

+ Uses excellent communication skills in order to influence a wide range of internal audiences including respective product, function, and senior management partners.

+ Ensures the use of sound judgment to provide meaningful insights and opinions on risk and control environment and communicates findings to management. Challenges the team to identify opportunities for improvement in the design and effectiveness of key controls and mitigation strategies.

+ Holds self and assigned team accountable for meeting deliverables, adhering to internal criteria and utilizing consistent methodology.

+ Ensures consistency of standards, appropriate level of rigor, and timeliness of assigned activities.

+ Conducts continuous monitoring for assigned areas, including monitoring of key metrics and informing data to identify issues and adverse trends.

+ Supports evaluation of existing governance programs for effectiveness and for consistency with regulatory expectations and industry leading practices.

+ Aware of evolving industry and regulatory changes impacting the business and assessment methodologies and provides insight and guidance as needed

+ Supports effective working relationships with internal assurance teams, regulators and external auditors.

+ Performs other duties and responsibilities as assigned.

Knowledge of

+ In-depth understanding of risk assessment practices and methodologies, including inherent risk assessment, control assessment, control design and performance evaluation, and quality assurance.

+ Internal control and mitigation strategy concepts.

+ Investment concepts, practices, and procedures used in the securities industry.

+ Principles of banking and finance and securities industry operations.

+ Financial markets and products.

Skill in

+ Implementing risk theories and concepts.

+ Critical thinking, problem solving, and creativity.

+ Managing direct reports.

+ Demonstrated ability and success in interacting with and influencing direct management and internal assurance teams .

+ Experience in managing against deadlines associated with an annual project plan.

+ Strong analytical skills particularly with regard to risk mitigation and control sufficiency and evaluating adherence to program standards via quality assurance activities.

+ Excellent verbal and written communication skills, with the ability to present complex and sensitive issues 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.

Ability to

+ Present complicated topics/concerns to various stakeholders.

+ Collaborate across departmental boundaries.

+ Interpret, analyze, and apply technical information.

+ Perform human resource management activities.

+ Plan, assign, monitor, review, evaluate and lead the work of others.

+ Coach and mentor others.

+ Identify training needs and develop subordinates.

+ Balance conflicting resource and priority demands.

+ Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.

+ Incorporate needs, wants and goals from different perspectives into program design and assessments.

+ Attend to detail while maintaining a big picture orientation.

+ Gather information, identify linkages and trends and apply findings to assignments.

+ Communicate effectively, both orally and in writing.

+ Read, interpret and apply information from business periodicals and professional journals.

+ Lead others in providing a high level of customer service.

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

Licenses/Certifications

+ CPA, CFE, CRMA, CIA, CBCP, CISSP, CRISC, Series 7 preferred.

**Travel Required:** Yes, 10 % of the Time

***SIE not required***

Education

Bachelor’s: Accounting, Bachelor’s: Economics, Bachelor’s: Finance

Work Experience

Manager Experience - 13 months to 3 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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