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Raymond James Financial, Inc. Senior Manager, Operational Risk Management (Capital Markets) in St. Petersburg, Florida

Job Summary:

Under general direction, uses extensive knowledge and skills obtained through education and experience to translate business strategy into comprehensive risk assessment programs and manage the work of other staff in conducting reviews and developing risk profiles for the firm’s Capital Markets segments. Leads large or multiple projects with significant scope and impact. Manages others in performing difficult assignments that are broad in nature requiring originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Provides comprehensive solutions to escalated complex problems. Results are evaluated at agreed upon milestones for effectiveness in achieving specified results. Extensive contact with executive management and is required to lead others in identifying, researching, analyzing and resolving complex issues.

Essential Duties and Responsibilities:

  • Developsand executes risk and control consulting activities for assigned areas ofresponsibility in accordance with internal standards, relevant governmentstatutes and regulations.

  • Oversees multiple engagements concurrently from planningthrough reporting and produces quality deliverables in accordance with bothdepartment and professional standards.

  • Appliescomprehensive expertise in one or more of the firm's businesses and leveragesthis knowledge into a leadership role in one or more teams.

  • Directly manages Managers and staff and performshuman resource management activities, including identifying performanceproblems and developing plans for remedial action; evaluating performance; andinterviewing and selecting staff.

  • Attracts, develops, and retains talent within theRisk Management organization and the Firm.

  • Establishes strong relationships with seniorleaders, including executive management, and related control groups.

  • Usesexcellent communication skills in order to influence a wide range of internalaudiences including respective product, function, or executive managementpartners.

  • Holds entire team accountable for meetingdeliverables, adhering to internal criteria and utilizing consistentmethodology.

  • Uses judgment to provide an overall opinion onthe business unit’s control environment and communicates findings to management.Identifies opportunities for improvement in the design and effectiveness of keycontrols and mitigation strategies.

  • Implements and executes an effective program ofcontinuous monitoring for assigned areas, including monitoring of key metricsto identify control issues and adverse trends.

  • Possesses strong project management andinterpersonal skills, makes sound decisions, exhibiting initiative andintuitive thinking. Consulted often by others for advice and opinions andrecognized as a leadership role model.

  • Participates in major business initiatives andpro-actively advises and assists the business on change initiatives.

  • Stays up-to-date with evolving industry andregulatory changes impacting the business.

  • Builds and maintains effective workingrelationships with Regulators and External Auditors.

  • Manages expenses to budget, solving fordepartment inefficiencies and excess spending.

  • Performs other duties and responsibilities asassigned.

Knowledge, Skills, and Abilities:

Knowledge of:

  • In-depth understating of risk management practicesand methodologies, including risk assessment and a solid understanding ofinternal control and mitigation strategy concepts.

  • Specificsubject matter expertise regarding control disciplines and a solid businessunderstanding of the financial services industry.

  • Advanced investment concepts, practices andprocedures used in the financial services industry.

  • Principles of finance and securities industryoperations.

Skill in:

  • Managing direct reports including managers and staff.

  • Demonstrated ability and success in interacting withand influencing senior leadership, including executive management.

  • Experience in managing against deadlinesassociated with an annual project plan.

  • Strong analytical skills particularly in regardto assessing the probability and impact of a control weakness.

  • Excellent verbal and written communicationskills, with the ability to present complex and sensitive issues to managementin a persuasive manner.

  • Enthusiastic, self-motivated, effective underpressure and willing to take personal risk and accountability.

  • Proven ability to multitask as well as assessand change priorities.

  • Ability to work well individually, and in teams,share information, support colleagues and encourage participation.

Ability to:

  • Perform human resource managementactivities.

  • Plan, assign, monitor, review, evaluate and leadthe work of others.

  • Coach and mentor others.

  • Identify training needs and developsubordinates.

  • Balance conflicting resource and prioritydemands.

  • Facilitate meetings, ensuring that allviewpoints, ideas and problems are addressed.

  • Incorporate needs, wants and goals fromdifferent business unit perspectives into risk management engagements andrecommendations.

  • Attend to detail while maintaining a big pictureorientation.

  • Gather information, identify linkages and trendsand apply findings to assignments.

  • Communicate effectively, both orally and inwriting.

  • Read, interpret and apply information frombusiness periodicals and professional journals.

  • Lead others in providing a high level ofcustomer service.

  • Establish and maintain effective workingrelationships at all levels of the organization.

Educational/Previous Experience Requirements:

  • Bachelor’s Degree and a minimum of seven (7) years experience in arelated field.


  • Any equivalent combination of experience,education, and/or training approved by Human Resources.


  • CPA, CFE, CRMA, CIA, CBCP, CISSP, CRISC, Series7 preferred

Job: Auditing & Compliance

Organization: RJF Risk Management

Title: Senior Manager, Operational Risk Management (Capital Markets)

Location: FL-St. Petersburg-Saint Petersburg

Requisition ID: 1900860