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Job Description

Job Summary

Under general supervision, uses knowledge and skills, obtained through education and/or experience, training and/or certification, to conduct risk and control assessment and quality assurance activities of limited scope and complexity. Participates in projects, programs, or processes with significant business impact involving cross-functional departments. Guidance is provided to perform varied work that is difficult in character requiring some evaluation, originality, and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. Results are evaluated at agreed upon milestones for effectiveness. Routine contact with internal and external customers is required to identify, research, analyze, and resolve complex problems.

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 sound analysis and demonstrated subject matter expertise.

+ Collaborates extensively with peer risk areas to ensure a cohesive approach.

+ Performs data collection and analysis in compliance with program requirements to assist in identifying, analyzing and recommending changes.

+ Performs 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.

+ Supports multiple engagements concurrently from planning through reporting.

+ Builds and maintains effective working relationships with stakeholders and internal assurance groups, demonstrating a culture of engagement and assistance.

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

+ Ensures the use of sound judgment to provide meaningful insights and opinions on risk and control environments. Identifies opportunities for improvement in the design and effectiveness of key controls and mitigation strategies.

+ Produces quality deliverables in accordance with both department and professional standards, 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.

+ Maintains awareness of evolving industry and regulatory changes impacting the business and assessment methodologies.

+ Performs other duties and responsibilities as assigned.

Knowledge of

+ Fundamental concepts, practices and procedures used in risk assessment practices and methodologies, including inherent risk assessment, control assessment, control design and performance evaluation, and quality assurance.

+ Fundamental concepts of 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

+ Working understanding of financial services risk and regulatory controls.

+ Works well individually, and in teams, shares information, supports colleagues and encourages participation.

+ Excellent verbal and written communication and interpersonal skills with the ability to present complex and sensitive issues to senior management and influence change.

+ Strong analytical skills, particularly with regard to assessing the probability and impact of an internal control weakness.

+ Proven ability to build strong relationships with stakeholders, learn quickly, be flexible and think strategically.

+ Proven ability to be able to multi task, complete projects on time and on budget, and be able to adapt to changing priorities.

+ Enthusiastic, self-motivated, effective under pressure.

+ Evaluating key controls and mitigation strategies within business processes.

+ Preparing written reports and delivering oral presentations.

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 to 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.

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

+ Work independently, demonstrating initiative and problem solving skills.

+ Provide a high level of customer service.

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

Licenses/Certifications

+ None Required

**Travel Required:** No

***SIE not required***

Education

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

Work Experience

General Experience - 3 to 6 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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