Sr Risk Analyst, Due Diligence

2 weeks ago

St Petersburg, United States Raymond James Financial Incorporated Full time

Job Summary:

Under general supervision, uses knowledge and skills, obtained through education and/or Registered Investment Advisor (RIA) and introducing broker dealer (IBD) training, to conduct risk management activities of limited scope and complexity to support the RIA & Custody Services (RCS) Division. Duties include assisting with administering RCS framework to identify, analyze, measure, and report key business risks specifically related to independent RIAs and introducing broker-dealers (IBDs) that clear and custody with Raymond James. Guidance is provided to perform varied work that is difficult in character requiring some evaluation, originality, and ingenuity to make moderately complex decisions. Routine contact with internal and external partners is required to identify, research, and resolve problems or recommend solutions.

Essential Duties and Responsibilities:

•Conduct appropriate due diligence related to new business through the review of prospective and existing RIA and IBD clients and their authorized agents seeking access to the Raymond James platform.

•Supports risk and control efforts for RCS in accordance with internal standards, relevant government statutes and regulations.

•Partners with colleagues and business process owners to facilitate the identification of risks as they relate to the custody and clearing business and uses judgment in providing opinions and recommendations as appropriate

•Develops documentation related to various risk issues to enhance business policies and/or procedures.

•Stays up-to-date with evolving regulatory changes and market events impacting custodians, clearing firms,

RIAs, and IBDs.

•Performs ongoing analysis of risk trends through business monitoring and execution of risk assessments with a particular focus on custody and clearing.

•Develops and maintains an in-depth understanding of custody and clearing business, its products, and supporting functions.

•Performs data collection and analysis in compliance with program requirements to assist in identifying, analyzing, and recommending changes, helping to minimize risk in business processes.

•Assists in performing reviews and recommending key controls and mitigation strategies.

•Builds and maintains key relationships with stakeholders demonstrating a culture of engagement and assistance.

•Performs other duties and responsibilities as assigned.

Qualifications:

Qualifications:

Knowledge of:

•Fundamental concepts, practices, and procedures of risk management and risk assessment as it relates to the custodial and clearing business.

•Fundamental concepts of financial markets and products, including market and entity identifiers.

•Fundamental concepts of custody and clearing relationships and related controls, policies, and procedure

•Regulatory rules, forms, reporting, and guidance for establishing custody and clearing relationships, and broker-dealer best practices to include, but are not limited to:

•FINRA Rule 4311

•Form ADV and BD

Skill in:

•Working understanding of financial services and operational risk, and regulatory controls.

•FINRA requirements related to establishing a clearing relationship.

•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 issuesto 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 multitask, 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:

•Quickly grasp risk theories and concepts, analyze data, and exhibit sound judgment and problem-solving skills.

•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.

•Work independently, demonstrating initiative and problem-solving skills.

•Provide a high level of customer service.

Educational/Previous Experience Requirements:

•Bachelor's Degree (B.A.) in related field with a minimum of three (3) years of relevant analysis experience in the financial services field

~or~

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

Licenses/Certifications:

•Series 7 and Series 66 or 65 Preferred

Raymond James Guiding Behaviors

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 outcome

•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 #J-18808-Ljbffr

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