Job Description
Description
Job Summary:
Under limited direction, uses extensive knowledge and skills obtained through education and experience to help set the direction of assigned risk discipline(s), with specific focus on the design, development, implementation and ongoing improvement of the Risk and Control Self-Assessment Program. Collaborates effectively with multiple stakeholders, including extensive contact with executive management and may be required to lead others in identifying, researching, analyzing and resolving complex issues. Possesses strong program management and interpersonal skills, makes sound decisions, exhibiting initiative and intuitive thinking. Consulted often by others for advice and opinions.
Essential Duties and Responsibilities
- Development and implementation of RCSA program enhancements and facilitation of the overall RCSA program, including oversight and second line review and challenge processes.
- Collaborates extensively with peer risk areas and second / third line stakeholders to ensure a cohesive approach to assigned risk disciplines, including the RCSA methodology and program.
- Develop and maintain RCSA policies, procedures, standards, user guides, etc. resulting in consistency of company execution and compliance of the RCSA program.
- Oversees multiple deliverables concurrently from planning through reporting and produces quality deliverables in accordance with both department and professional standards.
- Maintains strong relationships with senior leaders, including executive management, and related control groups.
- Uses excellent communication skills in order to influence a wide range of internal audiences and manage conflicts.
- Advance the company's risk culture and program knowledge through training, education and communication.
- Identify and prioritize business-critical needs and may lead team and key contributors to deliver efficient execution and timely results.
- Serve as a point of escalation.
- Continue to look for opportunities to be more efficient while maintaining a strong control environment.
- Develop requirements for program-specific reporting; including scorecards/dashboards.
- Perform other duties as assigned.
Qualifications
Knowledge, Skills, and Abilities:
Knowledge of:
· In-depth understanding of risk management practices and methodologies, including risk assessment and a solid understanding of internal control and mitigation strategy concepts.
· Specific subject matter expertise regarding control disciplines and an advanced understanding of Raymond James products and services, especially those associated with the area of responsibility.
· Advanced investment concepts, practices and procedures used in the financial services industry.
· Principles of banking and finance and securities industry operations.
· Financial markets and products.
Skill in:
· Implementing risk assessment requirements and concepts.
· Critical thinking, problem solving, and creativity.
· Demonstrated ability and success in interacting with and influencing senior leadership, including executive management.
· Experience in managing against deadlines associated with a project plan.
· Strong analytical skills particularly with regard to assessing program performance and efficiency.
· Excellent verbal and written communication skills, with the ability to present complex issues to management in a persuasive manner.
· Enthusiastic, self-motivated, effective under pressure and willing to take personal risk and accountability.
· Proven ability to multitask as well as assess and change priorities.
Ability to work well individually, and in teams, share information, support colleagues and encourage participation.
Ability to:
· Explain complicated topics/risk concerns to any audience.
· Influence and guide across departmental boundaries.
· Interpret, analyze, and apply technical information.
· Plan, assign, monitor, review, evaluate and lead the work of others.
· Balance conflicting resource and priority demands.
· Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.
· Incorporate needs, wants and goals from different business unit perspectives into risk management engagements and recommendations.
· Attend to detail while maintaining a big picture orientation.
· Gather information, identify linkages and trends and apply findings to assignments.
· Communicate effectively, both orally and in writing.
· Read, interpret and apply information from business periodicals and professional journals.
· Establish and maintain effective working relationships at all levels of the organization.
Educational/Previous Experience Requirements:
· Bachelor’s Degree (B.A.) and a minimum of ten (10) years of experience in a related field, including at least four (4) years of people management experience.
· Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications:
CPA, CFE, CRMA, CIA, CBCP, CISSP, CRISC, Series 7 preferred.
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
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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