What are the responsibilities and job description for the Security Setup Control Analyst position at Raymond James Financial?
Under general supervision, uses specialized knowledge and skills obtained
through experience and/or training to assist with the overall workflow of an assigned functional area, including collaborating with management team to identify opportunities for operational efficiency and productivity improvements and assisting with special projects. Detailed instructions and established procedures and prescribed guidelines are provided to perform a variety of tasks requiring minimal evaluation, originality or ingenuity in making routine decisions. Assess and maintain risk and quality controls for all functions and processes.
Essential Duties and Responsibilities:
- Performs a variety of procedures for risk maintenance and controls within the department.
- Monitors and reviews the daily workflow to ensure correct use of applications and compliance with established procedures.
- Independently handles resolution and recommends solutions to regulatory changes involving process and procedures.
- Initiate and drives the preparation of risk mitigation plans, procedure review and enhancement.
- Recommends and drives process and improvement for risk management processes and procedures
- Periodically reviews policies and procedures focusing on risk and controls.
- Periodically evaluates the peer and supervisor review process.
- Trains associates on peer and supervisor review process.
- Reviews, updates and maintains BCP procedures and testing.
- Develops and supports the management reporting dashboard.
- Acts as Liaison between Operations Controls and department.
- Performs other duties and responsibilities as assigned.
Qualifications
Knowledge, Skills, and Abilities:
Knowledge, Skills, and Abilities:
Advanced Knowledge of:
- General account procedures.
- Regulations for specific assigned functional area.
- Operations and systems of assigned functional area as it relates to risk control.
- Process flows within specific assigned functional area as it relates to risk control.
- Process flows within specific assigned functional area as well as downstream impacts as it related to risk control.
- Investment concepts, practices and procedures used in the securities industry, principles of banking and finance and securities industry operations and/or financial markets and products, as required by assigned functional area.
- Fundamental project management tools, techniques and procedures.
Advanced Skill in:
- Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
Ability to:
- Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
- Use appropriate interpersonal styles and communicate effectively, both orally and writing, with internal associates and external contacts at all levels.
- Effectively analyze and research relevant material and resolve business issues pertaining to risk management in order to make decisions.
- Analyze data to identify discrepancies with a focus on risk management and controls.
- Problem solving.
- Demonstrate strong numerical aptitude and use of critical thinking when solving operational problems.
- Provide training using a variety of instructional approaches.
- Attend to detail while maintaining a big picture orientation.
- Communicate effectively, both orally and in writing.
- Work independently as well as collaboratively within a team environment.
- Provide a high level of customer service.
- Establish and maintain effective working relationships.
Educational/Previous Experience Requirements:
- Bachelor’s Degree (B.A.) in related field and three (3) years of general work experience in financial environment preferably in a risk management or compliance department.
~or~
- Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications:
- None Required.
Raymond James Guiding Behaviors
We expect our associates at all levels to:
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
Job Operations
Primary Location US-FL-St. Petersburg-Saint Petersburg
Other Locations US-MI-Southfield-Southfield
Organization Operations & Administration
Schedule Full-time
Shift Day Job
Travel No
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