Senior Advisor, TSCBank Compliance

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.

Job Description

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 - 3 to 6 years

Certifications

Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Travel

Workstyle

Resident

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.