Manager, RJF Operational Risk Management

Essential Duties and Responsibilities

• Assists in the development and execution of risk and control consulting activities for assigned area of responsibility.
• Oversees or leads engagements from planning through reporting and produces quality deliverables in accordance with both department and professional standards.
• Establishes strong relationships with senior leaders and related control groups.
• Uses excellent communication skills in order to influence a wide range of internal audiences including respective product, function, or executive management partners.
• Analyzes complex problems, researches and organizes solutions and effectively presents recommendations to Sr. Management.
• Works with business process owners and internal/external auditors to evaluate control deficiencies, and develop risk-based solutions to address concerns.
• Interprets, applies and recommends changes to organizational policies and procedures.
• Maintains currency in relevant risk management processes and procedures.
• Uses judgment to provide an overall opinion on the business unit’s control environment and communicates findings to management.
• Identifies opportunities for improvement in the design and effectiveness of key controls and mitigation strategies.
• Executes an effective program of continuous monitoring for assigned areas, including monitoring of key metrics to identify control issues and adverse trends.
• Possesses strong project management and interpersonal skills, makes sound decisions, exhibits initiative and intuitive thinking.
• Consulted often by others for advice and opinions and recognized as a leadership role model.
• Participates in major business initiatives and pro-actively advises and assists the business on change initiatives.
• Stays up-to-date with evolving industry and regulatory changes impacting the business.

Knowledge, Skills, and Abilities

• Understanding of risk management practices and methodologies, including operational risk frameworks, risk assessment, inherent and residual risk, control effectiveness, and internal control and mitigation strategy concepts.
• Demonstrated knowledge of Risk and Control Self-Assessments (RCSA), including methodology, end-to-end lifecycle, and governance requirements.
• Specific subject matter expertise regarding area of responsibility and a solid business understanding of Raymond James products and services.
• Advanced investment concepts, practices and procedures used in the securities industry.
• Principles of banking and finance and securities industry operations.
• Financial markets and products.

Skills

• Demonstrated ability and success in interacting with and influencing senior leadership, including executive management.
• Experience in managing against deadlines associated with a risk management engagement.
• Strong analytical skills particularly with regard to assessing the probability and impact of a control weakness.
• Excellent verbal and written communication skills, with the ability to present complex and sensitive 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 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.
• 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.

Education/Previous Experience Requirements

Bachelor’s Degree and a minimum of six (6) years of experience in a related field OR Any equivalent combination of experience, education, and/or training approved by Human Resources.

Education: Bachelor’s: Applied Mathematics, Bachelor’s: Business Administration, Bachelor’s: Finance

Work Experience: General Experience - 6 to 10 years