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Job Description Summary

The Operational Risk Professional III provides support for Registered Investment Advisors (RIA) in Fixed Income and Money Movement transactions. This role is responsible for approving RIA and Custody and Clearing (CCD) trades. Additionally, this role reviews and approves RIA Money Movement requests for processing. In order to ensure success, the Registered Trading & Support Specialist must be able to accurately allocate RIA and CCD trades while adhering to reporting procedures. Strong attention to detail and communication skills are critical for success in this role.

Job Description

The Operational Risk Professional III provides support for Registered Investment Advisors (RIA) in Fixed Income and Money Movement transactions. This role is responsible for approving RIA and Custody and Clearing (CCD) trades. Additionally, this role reviews and approves RIA Money Movement requests for processing. In order to ensure success, the Registered Trading & Support Specialist must be able to accurately allocate RIA and CCD trades while adhering to reporting procedures. Strong attention to detail and communication skills are critical for success in this role.

Eligible for a hybrid work environment: 3 days in office per week, 2 days work remotely.

Essential Duties and Responsibilities

• Allocate RIA and CCD trades from corporate accounts to client accounts with speed and accuracy.

• Adhere to all reporting procedures, ensuring appropriate forms are completed within strict same-day deadlines.

• Review and send all RIA Money Movement requests for accurate and timely processing.

• Effectively communicate with internal stakeholders within the RIA and CCD departments with a strong focus on building rapport, resolving questions and anticipating concerns.

• Effectively communicate with external clients to verify their requests with a strong focus on building trust in the firm’s capabilities to accurately support their transactions.

• Resolve all internal and external stakeholder questions and concerns in a professional, efficient and timely manner.

• Support operational efficiency initiatives and provide feedback for process improvement.

• Demonstrate a sense of urgency on allocating trades, same-day reporting procedures and trade approvals.

• Acts a team lead as needed in helping management with escalations, problem solving, etc..

• Perform all other duties and responsibilities as assigned.

Qualifications - External

Knowledge, Skills, and Abilities

Knowledge of

• Basic office practices, procedures and methods.

• Account types and industry operations in general.

• Back office systems.

Skill in

• Strong communication, presentation, and problem-solving skills.

• Organizational and time management skills sufficient to prioritize workload, handle multiple tasks, and meet deadlines.

• Operating standard office equipment and using required software applications to produce correspondence, presentations, electronic communication and spreadsheets.

• Detail orientation to ensure quality standards are met without impairing workflow.

• Follow-up to ensure resolution and completion of tasks.

Ability to

• Thrive in a fast-paced result driven culture, who is proactive and can work with a sense of urgency.

• Deliver a sense of ownership and should work in a team environment as well as independently, while providing accurate and detailed information.

• Learn quickly and adapt to deadlines.

• Identify misleading information during the verification process.

• Provide a high level of customer service in a calm, courteous and professional manner.

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

• Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.

• Use effective oral and written communication skills sufficient enough to communicate and interact effectively with Financial Advisors and branch associates.

• Constructively work under stress and pressure when faced with high workloads and deadlines.

• Work independently as well as collaboratively within a team environment.

Educational/Previous Experience Requirements

Education/Previous Experience

• Minimum 2 years of experience in product management or fraud risk management.

• High School Diploma or equivalent and minimum of two (2) years of experience in the Financial Services industry

• OR ~

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

Licenses/Certifications

• none required

Education

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

Work Experience

General Experience - 7 to 12 months

Certifications

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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