Capital Markets & Advisory Risk Analyst

Job Description Summary

Under general supervision, uses knowledge and skills, obtained through education and/or experience, training and/or certification, to conduct risk management activities of limited scope and complexity and develop risk profiles in assigned processes within a functional area. Recommends process improvements for departmental and business unit processes, as well as procedures to improve internal controls and mitigation strategies. Guidance is provided to perform varied work that is difficult in character requiring some evaluation, originality and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. Results are evaluated at agreed upon milestones for effectiveness. Routine contact with internal and external customers is required to identify, research and resolve problems.

Job Description

Essential Duties and Responsibilities

• Leads and supports risk management consulting activities for assigned area of responsibility in accordance with internal standards, relevant government statutes and regulations.
• Partners with colleagues and business process owners to facilitate the identification of risks for assigned area and uses judgement in providing opinion and recommendations on the business unit's risk level and general adherence to risk programs.
• Stays up-to-date with evolving regulatory changes and market events impacting the business.
• Performs ongoing analysis of risk trends through business monitoring and execution of risk assessments.
• Partners with other groups within Risk Management to ensure delivery of a cohesive product.
• Develops and maintains an in-depth understanding of business areas, its products, and supporting functions.
• Performs continuous monitoring of various risk topics and/or business groups.
• Performs data collection and analysis in compliance with program requirements to assist in identifying, analyzing and recommending changes, helping to minimize risk in business processes.
• Assists in performing reviews for assigned areas to identify and recommend key controls and mitigation strategies.
• Independently performs evaluations of key controls or remediation activities.
• Identifies, reviews, assesses and documents risk management and control issues within assigned business or risk areas.
• Prepares written reports and  recommendations on the effectiveness of assigned business processes and risk mitigation activities.
• Builds and maintains key relationships with stakeholders demonstrating a culture of engagement and assistance.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of

• Fundamental concepts, practices and procedures of risk management and risk assessment.
• Fundamental concepts of financial markets and products.
• Fundamental subject matter expertise associated with the area of responsibility.

Skill in

• Working understanding of financial services risk and regulatory controls.
• Works well individually, and in teams, shares information, supports colleagues and encourages participation.
• Excellent verbal and written communication and interpersonal skills with the ability to present complex and sensitive issues to senior management and influence change.
• Strong analytical skills, particularly with regard to assessing the probability and impact of an internal control weakness.
• Proven ability to build strong relationships with stakeholders, learn quickly, be flexible and think strategically.
• Proven ability to be able to multi task, complete projects on time and on budget, and be able to adapt to changing priorities.
• Enthusiastic, self-motivated, effective under pressure.
• Planning, organizing and conducting root cause and other business unit analyses.
• Identifying key business processes.
• Identifying and documenting risk management issues.
• Evaluating key controls and mitigation strategies within business processes.
• Preparing written reports and delivering oral presentations.

Ability to

• Attend to detail while maintaining a big picture orientation.
• Gather information, identify linkages and trends and apply findings to assignments.
• Interpret and apply policies to identify and recommend changes as appropriate.
• Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.
• Meet tight deadlines within budgeted hours.
• Read, interpret and apply information from business periodicals and professional journals.
• Work independently, demonstrating initiative and problem solving skills.
• Provide a high level of customer service.
• Establish and maintain effective working relationships at all levels of the organization.

Educational/Previous Experience Requirements

• Bachelor’s Degree and a minimum of three (3) years experience in a related field.
• OR ~
• Any equivalent combination of education, training or experience approved by Human Resources.

Education

Bachelor’s, Bachelor’s: Business Administration, Bachelor’s: Finance

Work Experience

General Experience - 3 to 6 years

Certifications

Other Certification Not Listed - Other

Travel

Less than 25%

Workstyle

Hybrid

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave.  Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

 

 

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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