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Essential Duties and Responsibilities

+ Serves as a subject matter expert and owner of the securities backed loan portfolio risk management and monitoring process

+ Manages and develops junior staff

+ Responsible for monitoring intraday concentrated equities via internal template with Bloomberg or Thompson Reuters for RJB securities backed lending portfolio

+ Ensure accurate completion of daily, weekly, monthly and quarterly reporting functions and appropriate record retention

+ Compile and manipulate portfolio data and create reports used in senior management meetings

+ Review daily collateral calls and may contact branch/FA as needed

+ Oversight of the coding of eligible securities with RJ Operations

+ Provides subject matter expertise and guidance for initiatives related to collateral monitoring

+ Manage the process for loan workouts including demands and terminations

+ Perform UAT testing as appropriate

+ Monitors high risk accounts and responsible for tracking and follow up

+ Responsible for the creation and delivery of compliance and accounting records and reports, as required by senior management and regulatory agencies

+ Handles escalations related to collateral and makes risk-based recommendations

+ Maintains existing policies and procedures

+ Identifies process and policy efficiencies to balance risk management with client/FA experience

+ Performs other duties and responsibilities as assigned

+ Assists with special projects, as required

Knowledge of

+ Margin regulations including Reg U and Reg T lending practices and liquidation processes

+ Advanced knowledge of general securities industry including both public and private investment products

+ Enterprise securities risk management practices including volume, ratings, bulk holdings (bank and firm), fundamental analysis and common volatility metrics

+ Bloomberg and Thompson Reuters functions and corresponding MS Excel formula syntax

+ Intermediate Excel knowledge and skills including macro creation and experience with VBA

+ Writing and running SQL server queries and compiling large amounts of data

+ Intermediate Tableau knowledge and skills

+ Firm enterprise data management systems and policies

+ Intermediate level concepts, practices and procedures of retail loan processing and documentation

+ Intermediate principles of banking and finance

+ Financial markets and products

Skill in

+ Data analysis

+ Preparing records and reports

+ Performing routine to moderately complex loan/collateral calculations

+ Operating standard office equipment and using required software applications

+ Reviewing and interpreting loan documentation and terms

Ability to

+ Analyze securities collateral for eligibility and overrides

+ Review and prepare reporting needed to monitor portfolio risk

+ Interpret and apply policies.

+ Attend to detail while maintaining a big picture orientation.

+ Partner with other functional areas to accomplish objectives

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

+ Communicate effectively, both orally and in writing

+ Work independently as well as collaboratively within a team environment

+ Handle stressful situations and provide a high level of client service in a calm and professional manner

+ Establish and maintain effective working relationships