Chief Risk Officer

6 days ago

New York, New York, United States Raymond James Financial Incorporated Full time
Job Summary

The Senior Vice President, Chief Risk Officer for the Private Client and Asset Management business is responsible for comprehensive and strategic risk management responsibilities within Private Client and Asset Management. This role oversees the development, implementation, and execution of a risk framework to help identify, manage, and mitigate risks that impact the business. The Chief Risk Officer engages closely with senior business leaders and other key business leaders on a regular basis, fostering a deep understanding of the risk landscape to institute sound and effective risk management practices.

Key Responsibilities
  • Establishes and oversees the implementation of a risk management framework for the business unit, including defining the business appetite for risk taking and establishing appropriate controls.
  • Conducts and presents regular risk reviews to provide an independent perspective of the business and to keep pace with the changing business environment.
  • Monitors and analyzes the business's risk profile and tolerance, including daily risk monitoring across all relevant risk stripes, such as market, credit, liquidity, and operational risks.
  • Identifies emerging risks and advises on risk mitigation strategies.
  • Leads the development and implementation of risk assessment and quantification models needed to risk manage the business.
  • Oversees and evolves risk reporting processes to enhance the accuracy and effectiveness of risk information.
  • Ensures the business's risk management practices comply with regulatory requirements and industry best practices, and engages with regulators to provide essential risk context.
  • Reports risk-related data, including risk exposure, compliance to risk policies, and effectiveness of current risk management strategies, to the Board of Directors, senior management, and various risk committees.
  • Collaborates with the business and other key stakeholders to evaluate the risk associated with potential mergers and acquisitions, new product offerings, and other initiatives.
Qualifications

The ideal candidate will have:

  • Advanced knowledge of risks and regulations in all aspects of the Private Client and Asset Management business.
  • Risk assessment methodologies.
  • Risk governance structure and design.
  • Risk policy and procedures.
  • Infrastructure design, risk controls, and segregation of duties.
  • Relevant risk-based regulatory schemes, including Basel I and Basel II, and current rules under review.
  • Sarbanes-Oxley regulations.
  • Software development processes.
  • ISDA/CSA and MBA documentation, with the ability to provide advice on such documentation negotiation from the credit perspective.
  • Securities/Private Client and Asset Management products and an understanding of market-standard risk management practices.
Raymond James Guiding Behaviors

At Raymond James, our associates use five guiding behaviors 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.

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