Operational Risk Specialist I

Operational Risk Manager

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

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

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 :

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.