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Job Description

Job Summary

Under administrative direction, with a high degree of autonomy, uses extensive knowledge and skills obtained through education and experience to support the Fixed Income Capital Markets (FICM) division in the FICM risk management function. Translates business strategy into comprehensive risk management programs and manages the work of others in implementing initiatives in a variety of functional areas. Leads major 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 or needs. End results are evaluated to ensure goals and objectives are achieved. Maintains extensive contact with leadership across FICM and the firm.

Essential Duties and Responsibilities

+ Promotes best practices to assist Business Lines manage FICM risk.

+ Conducts a variety of special projects under the direction of the FICM Business Unit Risk Manager.

+ Identifies initiatives to strengthen controls.

+ Assists with the creation and maintenance of FICM risk management policies.

+ Helps to assess and remediate the division’s compliance with all applicable regulatory requirements.

+ 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.

+ Manages the process to establish, maintain, review, and test control activities that take place in FICM.

+ Drives opportunities for process improvements.

+ Plans, assigns, monitors, reviews, evaluates and leads the work of others.

+ Coaches and mentors subordinates and identifies training needs and creates development plans.

+ Leads in the risk and control consulting activities of the business risk management function.

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

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

+ 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.

+ Prepares written reports and delivers oral presentations to FICM and firm management.

+ Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of

+ Advanced concepts, practices and procedures of risk management (including Operational Risk Management, Enterprise Risk Management, and Business Continuity Management.

+ Regulation knowledge particularly that of Financial Industry Regulatory Authority (FINRA), Municipal Securities Rulemaking Board (MSRB), and the Federal Reserve Bank holding company regulations.

+ Fixed Income knowledge preferred.

+ Operations within the financial services industry.

+ Advanced 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

+ Critical thinking and problem solving.

+ Preparing and reviewing operational budgets.

+ Developing and applying policies and procedures.

+ Establishing operational 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 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 (7) 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.

Licenses/Certifications

+ SIE and Series 7 will be expected to be obtained within one year from your start date.

Education

Bachelor’s: Business Administration/Management (Required), Bachelor’s: Economics (Required), Bachelor’s: Finance (Required)

Work Experience

General Experience - 3 to 6 years

Certifications

Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Travel

Less than 25%

Workstyle

Resident

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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