Job Summary: The Senior Advisor of Compliance Risk Management will perform their duties under administrative direction, using banking/financial services knowledge and skills obtained through education, experience, training to administer and manage an assigned compliance function. Specifically duties will focus assisting management with outlining and administering the process and approach to identify and document Process, Risks, and Controls for Compliance. In addition this individual will contribute with the development and implementation of a Compliance Risk and Control Self-Assessment as well as become cross trained to be back up to support Compliance Issue Management.
Essential Duties and Responsibilities: - Applies understanding of enterprise risk management principles in the identification and documentation of processes, risks and controls (PRC) for Compliance. - Collaborate across Business Unit CCO teams to help ensure like activities are documented in a similar manner. - Apply knowledge to identify and document control attributes. - Determine effective and efficient approach to ascertain the quality of controls, including both design and effectiveness. - Partner with Compliance Risk Assessment (CRA) team to ensure data collected is documented in a format and level of detail that helps facilitate the CRA process. - Supports the periodic reporting on Process, Risk and Control related activities. - Assist in developing related templates, standards and procedures - May assist with the development, scheduling and execution of training for the department and business units Compliance teams. - Collaborates well with all levels of management. - May assist to coach, train and mentor others associates. - Under administrative direction balances conflicting resource and priority demands. - Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities: Advanced knowledge of: - Concepts associated with the application of an operational risk management framework to a second line of risk management (Compliance) - Concepts, practices and procedures of securities industry and/or banking compliance reviews. - High level understanding of rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies. - Fundamental investment concepts, practices and procedures used in the securities industry. - Principles of banking and finance and securities industry operations. - Financial markets and products.
Skilled in: - Understanding an application of operational risk management principles - Understanding of the components of a compliance program - Design of processes, procedures and templates - Design decks for management reporting (oral / written reports) - Perform efficient and effective control reviews - Strong verbal and written communication - Strong collaboration - Operating standard office equipment and using required software applications.
Ability to: - Partner with other functional areas to accomplish objectives. - Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed. - Attend to detail while maintaining a big picture orientation. - Gather information, identify linkages and trends and apply findings to assignments. - Interpret and apply securities and/or banking regulations and identify and recommends policy and procedural changes as appropriate. - Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities. - Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels. - Work independently as well as collaboratively within a team environment. - Provide a high level of customer service. - Establish and maintain effective working relationships at all levels of the organization. - Maintain confidentiality. - Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance.
Educational/Previous Experience Requirements: - Bachelor-s Degree (B.A./B.S.) in a related discipline and a minimum of three (3) years of experience in Compliance and/or the financial services industry. ~or~ - Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications: - Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
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
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