Director, Risk Management

Job Description Description Job Summary: Under limited direction, uses extensive knowledge and skills obtained through education and experience to set the strategic direction of assigned risk discipline(s), translate business strategy into comprehensive risk assessment programs and manages the work of other staff in conducting reviews and developing risk profiles in a variety of functional areas. Oversees staff who lead large or multiple projects with significant scope and impact. Manages others in performing difficult assignments that are broad in nature requiring originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Provides comprehensive solutions to escalated complex problems. Results are evaluated at agreed upon milestones for effectiveness in achieving specified results. Extensive contact with executive management and is required to lead others in identifying, researching, analyzing and resolving complex issues. Essential Duties and Responsibilities: • Sets the strategic direction for assigned risk discipline at the firm. • Represents assigned risk discipline’s program to management, regulators, and the Board of Directors. • Influences positive change through leadership, sound analysis, and demonstrated subject matter expertise. • Leads the team and collaborates extensively with peer risk areas to ensure a cohesive approach. • Directs risk and control consulting activities for assigned areas of responsibility, across multiple business areas, in accordance with internal standards, relevant government statutes and regulations. • Oversees multiple engagements concurrently from planning through reporting and produces quality deliverables in accordance with both department and professional standards. • Applies comprehensive expertise in one or more of the firm's businesses and leverages this knowledge into a leadership role in one or more teams. • Directly manages Managers and staff and performs human resource management activities, including identifying performance problems and approving recommendations for remedial action; evaluating performance; and interviewing and selecting staff. • Attracts, develops, and retains talent within the Risk Management organization and the Firm. • Maintains strong relationships with senior leaders, including executive management, and related control groups. • Uses excellent communication skills in order to influence a wide range of internal audiences including respective product, function, and executive management partners. • Ensures the use of sound judgment to provide an overall opinion on the business unit’s control environment and communicates findings to management. Challenges the team to identify opportunities for improvement in the design and effectiveness of key controls and mitigation strategies. • Holds entire team accountable for meeting deliverables, adhering to internal criteria and utilizing consistent methodology. • Ensures consistency of standards, appropriate level of rigor, and timeliness of risk management activities. • Oversees continuous monitoring for assigned areas, including monitoring of key metrics to identify control issues and adverse trends. • Evaluates existing governance programs for effectiveness and for consistency with regulatory expectations and industry leading practices. • Possesses strong project management and interpersonal skills, makes sound decisions, exhibiting initiative and intuitive thinking. Consulted often by others for advice and opinions and recognized as a leadership role model. • Participates in complex business initiatives and pro-actively advises and assists the business on change initiatives. • Viewed as an expert in evolving industry and regulatory changes impacting the business. • Builds and maintains effective working relationships with Regulators and External Auditors. • Manages expenses to budget, solving for department inefficiencies and excess spending. • Performs other duties and responsibilities as assigned. Qualifications Knowledge, Skills, and Abilities: Knowledge of: • In-depth understanding of risk management practices and methodologies, including risk assessment and a solid understanding of internal control and mitigation strategy concepts. • Specific subject matter expertise regarding control disciplines and an advanced understanding of Raymond James products and services, especially those associated with the area of responsibility. • 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: • Implementing advanced risk theories and concepts. • Critical thinking, problem solving, and creativity. • Managing direct reports including managers and staff. • Demonstrated ability and success in interacting with and influencing senior leadership, including executive management. • Experience in managing against deadlines associated with an annual project plan. • Strong analytical skills particularly with regard to assessing the probability and impact of a control weakness. • Excellent verbal and written communication skills, with the ability to present complex and sensitive issues to management in a persuasive manner. • Enthusiastic, self-motivated, effective under pressure and willing to take personal risk and accountability. • Proven ability to multitask as well as assess and change priorities. • Ability to work well individually, and in teams, share information, support colleagues and encourage participation. Ability to: • Explain complicated topics/risk concerns to any audience. • Influence and guide across departmental boundaries. • Interpret, analyze, and apply technical information. • 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. • Incorporate needs, wants and goals from different business unit perspectives into risk management engagements and recommendations. • 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: • Bachelor’s Degree and a minimum of ten (10) years experience in a related field, including at least four (4) years of people management experience. ~or~ • Any equivalent combination of experience, education, and/or training approved by Human Resources. Licenses/Certifications: 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 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. Raymond James & Associates, Inc., member / , and Raymond James Financial Services, Inc., member / , are subsidiaries of Raymond James Financial, Inc.New York Stock Exchange SIPC FINRA SIPC Raymond James and Raymond James Financial are registered trademarks of Raymond James Financial, Inc.

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