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Job Description

Job Summary

Under strategic leadership, exercise significant autonomy to elevate our risk governance framework, leveraging sophisticated expertise cultivated through both academic achievement and practical experience. As a forward-thinking risk leader, you'll transform Private Client and Asset Management Groups risk management into strategic advantages that measurably enhance our client value proposition and organizational resilience. Skillfully translate intricate business strategies into elegant, comprehensive risk solutions while orchestrating cross-functional implementation of the firm's most critical risk initiatives. Lead transformative projects with substantial enterprise impact, collaborating across organizational boundaries to shape our risk culture. Guide specialized teams through nuanced, high-stakes initiatives with far-reaching implications for our prestigious client base. Architect sophisticated solutions to our most complex risk challenges, delivering outcomes that consistently exceed expectations and align with our uncompromising standards of excellence. Cultivate influential relationships with both distinguished internal stakeholders and our exclusive external client portfolio to reinforce our reputation for exceptional risk stewardship in wealth management.

Essential Duties and Responsibilities

+ Facilitates the identification of risks, (which could include any or all of the following: hazard risk; operational risk; financial risk; compliance/regulatory risk; or business risk) throughout the organization.

+ Performs human resource management activities, including identifying performance problems and developing plans for remedial action; evaluating performance; and interviewing and selecting staff.

+ Prepares and presents operational budgets for the Operational Risk and Privacy group.

+ Assists in leading risk and control consulting activities of the risk management function.

+ Contributor to the strategic development and execution of risk management activities within the Private Client and Asset Management Groups, loss event analysis and reporting, operational control analysis, segregation of duties review, logical access roles development, data privacy analysis, business continuity activities, and/or business process engineering.

+ Analyzes complex problems, research and organizes solutions and effectively present recommendations to Sr. Management.

+ Works with business process owners and internal/external auditors to evaluate control deficiencies, and develop risk-based solutions to address concerns.

+ Interprets, applies and recommends changes to organizational policies and procedures.

+ Establishes objectives and develops processes and procedures to ensure efficient and timely work flow.

+ Provides guidance and input in recommendations for improvements to business processes.

+ Coordinates resources to achieve high quality results in the most time efficient manner.

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

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

+ Uses judgment to provide an overall opinion on the business unit’s control environment and communicates findings to management. Identifies opportunities for improvement in the design and effectiveness of key controls and mitigation strategies.

+ Prepares written reports and delivers oral presentations to internal customers and management.

+ Maintains currency in operational risk management and business continuity management processes and procedures.

+ Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of

+ Advanced risk management frameworks specifically relevant to wealth management including specialized approaches to Operational Risk Management, Enterprise Risk Management, Business Continuity Planning, and Technology Risk Management in high-net-worth client environments.

+ Comprehensive understanding of Risk and Control Frameworks and their practical application to wealth management and private client services.

+ Sophisticated investment concepts and risk mitigation strategies for high-net-worth individuals, including portfolio construction, alternative investments, and comprehensive wealth preservation approaches.

+ Wealth management operational structures and private banking practices, with particular focus on fiduciary responsibilities and regulatory compliance specific to high-value client relationships.

+ Diverse financial products and markets relevant to wealth management clients

Skill in

+ Critical thinking and problem solving.

+ Preparing and reviewing operational budgets.

+ Developing and applying policies and procedures.

+ Establishing operational and strategic objectives.

+ Developing processes and procedures for efficient and timely work flow.

+ Preparing and delivering clear, effective, and professional presentations.

+ Promoting effective coordination between multiple work groups and cross-functional areas.

+ Identifying trends and implementing appropriate corrective action

+ Establishing control mechanisms.

+ Implementing process improvement initiatives.

+ Planning, organizing and conducting risk management projects.

+ Identifying and analyzing key business processes.

+ Identifying and documenting risk management issues.

+ Testing key controls within business processes.

+ Operating standard office equipment and using required software applications.

Ability to

+ 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.

+ 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.

Educational/Previous Experience Requirements

Education/Previous Experience

• Bachelor’s Degree and a minimum seven (5) years’ experience in risk management, internal control, audit, or information security experience.

• OR ~

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Education

Bachelor’s: Accounting, Bachelor’s: Actuarial Science, Bachelor’s: Applied Mathematics

Work Experience

General Experience - 3 to 6 years

Certifications

Other License Not Listed - Other

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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