Operational Risk Specialist I
Raymond James, St. Petersburg, FL, United States
Job Description Summary
Monitor and analyze the organization's operational risk exposure, and contribute to the development of operational risk policies. Analyze existing processes, procedures and systems and advise on improvements.
Responsibilities
Ensure the organization is not exposed to undue risks by using risk management systems to achieve specific goals within a designated area of the business.
Identify, within the team, instances of noncompliance with the organization's policies and procedures and/or relevant regulatory codes and codes of conduct, reporting these instances and escalating issues as appropriate.
Conduct research using primary data sources, and select information needed for the analysis of key themes and trends.
Contribute to the preparation of various data and analytics reports.
Advise others on how to design new processes and systems that meet professional standards.
Contribute to stakeholder engagement by identifying stakeholders; by finding out their needs, issues, and concerns; and by reacting to these needs, issues, and concerns, arranging meetings and events and drafting supporting materials to promote understanding and commitment.
Skills
Inspect, cleanse, transform, and model data to discover useful information, inform conclusions, and support decision-making.
Identify, assess, prioritize and manage risks.
Review and evaluate recommendations and requirements and to develop appropriate plans or deliver actions required.
Education Bachelor’s: Accounting, Bachelor’s: Actuarial Science, Bachelor’s: Applied Mathematics
Work Experience General Experience - 6 to 10 years, Manager Experience - 3 to 6 years
Certifications Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)
Travel Less than 25%
Workstyle Hybrid
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 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.
The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
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Responsibilities
Ensure the organization is not exposed to undue risks by using risk management systems to achieve specific goals within a designated area of the business.
Identify, within the team, instances of noncompliance with the organization's policies and procedures and/or relevant regulatory codes and codes of conduct, reporting these instances and escalating issues as appropriate.
Conduct research using primary data sources, and select information needed for the analysis of key themes and trends.
Contribute to the preparation of various data and analytics reports.
Advise others on how to design new processes and systems that meet professional standards.
Contribute to stakeholder engagement by identifying stakeholders; by finding out their needs, issues, and concerns; and by reacting to these needs, issues, and concerns, arranging meetings and events and drafting supporting materials to promote understanding and commitment.
Skills
Inspect, cleanse, transform, and model data to discover useful information, inform conclusions, and support decision-making.
Identify, assess, prioritize and manage risks.
Review and evaluate recommendations and requirements and to develop appropriate plans or deliver actions required.
Education Bachelor’s: Accounting, Bachelor’s: Actuarial Science, Bachelor’s: Applied Mathematics
Work Experience General Experience - 6 to 10 years, Manager Experience - 3 to 6 years
Certifications Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)
Travel Less than 25%
Workstyle Hybrid
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 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.
The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
#J-18808-Ljbffr