What are the responsibilities and job description for the Senior Corporate Action Quality Control Analyst position at Raymond James Financial Services?

Job Description

This position follows our hybrid-friendly schedule, so you get the best of both worlds - flexibility and collaboration. In office days will be 3 per week averaging 12 days per month in one of the following locations : St Petersburg, FL, Southfield, MI, or Memphis, TN.

Responsibilities :

Reviews complex voluntary corporate action work packages to ensure completeness and accuracy.
Proactively researches and investigates exceptions, red-flags and concerns by gathering, analyzing and interpreting pertinent information and documentation.
Carry out a specified range of complex tests; interpret test data to verify that specifications are met and / or to identify remedial actions required to ensure conformance.
Carry out a range of complex activities to generate evidence in support of the validation of existing and new quality assurance test methods and procedures.
Carry out a range of quality management activities under the guidance of senior colleagues to contribute to the identification and evaluation of current policies and business processes that are in the scope of the quality management system (QMS) and to support the design, development, and documentation of new policies, procedures, and business processes.
Follow the organization's health, safety, and environment (HSE) policies, procedures, and mandatory instructions to identify and mitigate risks and to safeguard the environment and the well-being of self and others.
Develop knowledge and understanding of the organization's policies and procedures and of relevant regulatory codes and codes of conduct to ensure own work adheres to those standards. Obtain authorization from a supervisor or manager for any exceptions from mandatory procedure.
Implement improvements and provide feedback on them. Use change management systems and protocols to provide routine support services.
Prepare moderately complex documents using a variety of applications for technology devices, such as standard office software. Also responsible for gathering and summarizing data for reports.
Prioritize own workflow and ensure work is completed to the required standards of productivity, quality, and timeliness; use performance management systems to improve personal performance.
Develop own capabilities by participating in assessment and development planning activities as well as formal and informal training and coaching. Develop and maintain an understanding of relevant technology, external regulation, and industry best practices through ongoing education, attending conferences, and reading specialist media.
Design own monthly schedule and, if necessary, assign work to others in order to speed up office workflow and ensure high-priority tasks get done.

Advanced knowledge of :

Products and concepts relating to financial services industry, including financial instruments, financial management, and cash and capital principles.

Rules and regulations regarding claims, corporate action liability notices, and transformations.

Diverse corporate action events and how they impact clients and the firm

Services provided by The Depository Trust Company (DTC), Euroclear Bank, and CitiDirect for Securities.

Double Taxation Agreements (DTAs)

Corporate actions department procedures, systems (XSP, SIS, DTC, Euroclear), and concepts.

Cash and Stock reconciliations, including advanced knowledge of Stock Record.

Skills :

Works without supervision and provides technical guidance when required on planning, organizing, prioritizing and overseeing activities to efficiently meet business objectives.

Works without supervision and provides technical guidance when required on developing, monitoring, interpreting and understanding policies and procedures, while making sure they match organizational strategies and objectives.

Works without supervision and provides technical guidance when required on achieving full compliance with applicable rules and regulations in management and / or operations.

Works without supervision and provides technical guidance when required on interpreting and applying knowledge of laws, regulations and policies in area of expertise.

Works without supervision and provides technical guidance when required on reviewing and creating relevant, lucid and effective reports.

Uses clear and effective verbal communications skills without supervision and provides technical guidance when required on expressing ideas, requesting actions and formulating plans or policies.

Manages and applies safe systems of work without supervision and provides technical guidance when required.

Works with guidance (but not constant supervision) to develop appropriate plans or perform necessary actions based on recommendations and requirements.

Identifies, assesses, prioritizes and manages risks with guidance (but not constant supervision)

Works without supervision and provides technical guidance when required on analyzing data from multiple sources to draw appropriate conclusions and make suitable recommendations.

Works with full competence to manage the work that determines the quality policies, procedures, and responsibilities so the work satisfies the needs for which it was undertaken. Typically works without supervision and may provide technical guidance.

Works with full competence to design, create and administer the test scripts associated with the delivery of the project, ensuring that the requirements are being met from a functional, design and user experience perspective. Typically works without supervision and may provide technical guidance.

Education

Bachelor's : Accounting, Bachelor's : Business Administration

Work Experience

Manager Experience - 0 to 3 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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