Raymond James Financial
Sr. Advisor, Compliance TriState Capital Bank
Raymond James Financial, Pittsburgh, Pennsylvania, United States, 15201
Operational Risk Analyst
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. Track progress against budgets within established finance systems, and report variances to more senior colleagues. Conduct research using primary data sources, and select information needed for the analysis of key themes and trends. Analyze and assess the risks associated with products, individual applications, new business areas, and the market to quantify risk and ensure it is within the agreed risk appetite. Advise others on how to design new processes and systems that meet professional standards. Contribute to the preparation of various data and analytics reports. Organize and prepare complex documents using a variety of applications for technology devices, such as standard office software. 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. Develop own capabilities by participating in assessment and development planning activities as well as formal and informal training and coaching; gain or maintain external professional accreditation, where relevant, to improve performance and fulfill personal potential. Maintain an in-depth understanding of technology, external regulation, and industry best practices through ongoing education, attending conferences, and reading specialist media. Skills: Works without supervision and provides technical guidance on analyzing data trends for use in reports to help guide decision making. Independently supports business processes with comprehensive understanding and effective use of standard office equipment and standard software packages, while also providing guidance and training to others. Works without supervision and provides technical guidance on developing appropriate plans or performing necessary actions based on recommendations and requirements. Works without supervision and provides technical guidance on achieving full compliance with applicable rules and regulations in management and/or operations. Uses an understanding of numerical concepts to perform mathematical operations such as report analysis without supervision and provides technical guidance. Works without supervision and provides technical guidance on reviewing and creating relevant, lucid and effective reports. Identifies, assesses, prioritizes and manages risks without supervision and provides technical guidance. Uses clear and effective verbal communications skills without supervision and provides technical guidance on expressing ideas, requesting actions and formulating plans or policies. Works with full competence to analyze potential solutions and create recommendations based on the expected benefits, costs, and overall value of the solution for key stakeholders. Works without supervision and provides technical guidance on analyzing data from multiple sources to draw appropriate conclusions and make suitable recommendations. Works without supervision and provides technical guidance on acquiring, organizing, protecting and processing data to fulfill business objectives. Works with full competence to conduct an enterprise readiness assessment to determine the organization's readiness for change. Works without supervision and provides technical guidance on planning, organizing, prioritizing and overseeing activities to efficiently meet business objectives. Works without supervision and provides technical guidance on identifying, assessing, prioritizing and managing project-related risks. Works with full competence to design, create and administer the test scripts associated with the delivery of the project, ensuring that the requirements are being met from a functional, design and user experience perspective. Works without supervision and provides technical guidance on creating relevant, lucid and effective reports. Works with full competence to model, analyze, assess, and quantify the impact and probability of various risk scenarios and select the most appropriate course of action for the given situation. Engages in strategic planning without supervision and provides technical guidance. Works under guidance (but not constant supervision) to perform costing, budgeting and finance tasks. Education: Bachelor's: Accounting Bachelor's: Actuarial Science Bachelor's: Applied Mathematics Work Experience: General Experience - 6 to 10 years Certifications: Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) Travel: Workstyle: Resident 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.
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. Track progress against budgets within established finance systems, and report variances to more senior colleagues. Conduct research using primary data sources, and select information needed for the analysis of key themes and trends. Analyze and assess the risks associated with products, individual applications, new business areas, and the market to quantify risk and ensure it is within the agreed risk appetite. Advise others on how to design new processes and systems that meet professional standards. Contribute to the preparation of various data and analytics reports. Organize and prepare complex documents using a variety of applications for technology devices, such as standard office software. 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. Develop own capabilities by participating in assessment and development planning activities as well as formal and informal training and coaching; gain or maintain external professional accreditation, where relevant, to improve performance and fulfill personal potential. Maintain an in-depth understanding of technology, external regulation, and industry best practices through ongoing education, attending conferences, and reading specialist media. Skills: Works without supervision and provides technical guidance on analyzing data trends for use in reports to help guide decision making. Independently supports business processes with comprehensive understanding and effective use of standard office equipment and standard software packages, while also providing guidance and training to others. Works without supervision and provides technical guidance on developing appropriate plans or performing necessary actions based on recommendations and requirements. Works without supervision and provides technical guidance on achieving full compliance with applicable rules and regulations in management and/or operations. Uses an understanding of numerical concepts to perform mathematical operations such as report analysis without supervision and provides technical guidance. Works without supervision and provides technical guidance on reviewing and creating relevant, lucid and effective reports. Identifies, assesses, prioritizes and manages risks without supervision and provides technical guidance. Uses clear and effective verbal communications skills without supervision and provides technical guidance on expressing ideas, requesting actions and formulating plans or policies. Works with full competence to analyze potential solutions and create recommendations based on the expected benefits, costs, and overall value of the solution for key stakeholders. Works without supervision and provides technical guidance on analyzing data from multiple sources to draw appropriate conclusions and make suitable recommendations. Works without supervision and provides technical guidance on acquiring, organizing, protecting and processing data to fulfill business objectives. Works with full competence to conduct an enterprise readiness assessment to determine the organization's readiness for change. Works without supervision and provides technical guidance on planning, organizing, prioritizing and overseeing activities to efficiently meet business objectives. Works without supervision and provides technical guidance on identifying, assessing, prioritizing and managing project-related risks. Works with full competence to design, create and administer the test scripts associated with the delivery of the project, ensuring that the requirements are being met from a functional, design and user experience perspective. Works without supervision and provides technical guidance on creating relevant, lucid and effective reports. Works with full competence to model, analyze, assess, and quantify the impact and probability of various risk scenarios and select the most appropriate course of action for the given situation. Engages in strategic planning without supervision and provides technical guidance. Works under guidance (but not constant supervision) to perform costing, budgeting and finance tasks. Education: Bachelor's: Accounting Bachelor's: Actuarial Science Bachelor's: Applied Mathematics Work Experience: General Experience - 6 to 10 years Certifications: Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) Travel: Workstyle: Resident 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.