Raymond James · 11 hours ago
Manager, Risk Management and Complex Issues – RCS
Saint Petersburg, Florida - United States
Full-time
Hybrid
Mid, Senior Level
5+ years expRaymond James is a financial services firm, and they are seeking a Manager for Risk Management and Complex Issues in their RIA & Custody Services Division. This role involves leading risk management efforts, overseeing a team, and ensuring regulatory alignment while driving process improvements to strengthen the division’s risk posture.
BankingFinancial ServicesInformation TechnologyInsuranceWealth Management
Responsibilities
Lead risk monitoring and surveillance efforts for RCS in alignment with internal standards, relevant government statutes, and regulations
Conduct due diligence on new RIA and IBD relationships, including entity reviews and representative background assessments
Lead a team of high-performing individuals while continually looking to optimize and drive efficiency for existing processes
Directly interacting with customers to research complex issues and provide solutions
Internally partnering with Enterprise Risk Management, Compliance, Legal, and AML to resolve complex issues
Develop key risk indicators (KRI) and appropriate metrics to continuously monitor existing and emerging risks associated with the RCS platform
Develop key performance indicators (KPIs) and appropriate metrics to measure the overall effectiveness of the Risk and Complex Issues Program
Stay current on evolving regulatory changes and market events impacting RIAs, BDs, and custodians to recommend appropriate responses
Drive development of policies, procedures, and standards to mitigate business and operational risks specific to the custody and clearing space
Perform gap analyses and needs assessments based on regulatory obligations and the RCS business model
Performs other duties and responsibilities as assigned
Qualification
Required
Bachelor's Degree
Minimum of two (2) years of experience as a people leader and managing direct reports
Minimum of five (5) years of relevant experience in a financial services environment
FINRA Series 7 and 63/66, or ability to obtain within 12 months
Risk management practices and surveillance concepts relevant to the custody and clearing business, its products, and supporting functions
Fundamental concepts, practices and procedures of securities industry and/or banking compliance reviews
Inherent risks associated with brokerage/banking industry and the controls to mitigate residual risk
Proven ability to deliver difficult messages to clients and internal partners
Working individually, and in teams, to share information, support colleagues, and encourages participation
Leading, developing, and motivating a team to deliver high-quality service
Communicating complex or sensitive issues to stakeholders, including senior management, and influencing change
Building strong relationships and collaborating across functional areas
Managing multiple priorities in a fast-paced environment with shifting demands
Delivering accurate, detailed written reports and clear oral presentations
Making analytical and rule-based decisions supported by sound judgment
Make quick and effective decisions while balancing risk and the client experience
Influence strategic direction and develop tactical plans with substantial latitude for independent actions or decisions
Navigate ambiguity and provide comprehensive solutions to complex problems
Work under pressure on multiple tasks and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities
Read, analyze, interpret, and apply information from common industry journals, financial reports, and legal documents
Delegate effectively by assessing team strengths, assigning work strategically, and ensuring accountability while maintaining high-quality outcomes
Optimize work processes, multi-task and handle multiple projects with demonstrated follow-through
Gather information, identify linkages and trends, and apply findings to assignments
Interpret and apply policies to identify and recommend changes as appropriate
Establish and maintain effective working relationships at all levels of the organization
Preferred
Bachelor's: Accounting
Bachelor's: Actuarial Science
Bachelor's: Applied Mathematics
General Experience - 3 to 6 years
Manager Experience - 13 months to 3 years
Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)
Company
Raymond James
Raymond James provides a range of investment banking services focused on the telecommunications and communications sectors.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
$1.5B2025-09-09Post Ipo Debt· $1.5B
1983-07-01IPO
Leadership Team
Paul Shoukry
Chief Financial Officer
James Sickling
COO - Fixed Income
Recent News
TradingView
2025-12-16
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