Raymond James

Risk Analyst, RCS

Saint Petersburg, Florida - United States, USA

Sponsorship not specifiedDetected 2 days ago

AccountingProcess ImprovementCustomer SupportResearchLeadershipMicrosoft OfficeActuarial Science

About the role

This role strengthens the division's risk framework through due diligence, control evaluation, trend analysis, and stakeholder partnership that improve decision-making, reinforce compliance, and mitigate operational risk.

Responsibilities

Client and platform risk diligence: Conduct due diligence on prospective and existing RIA and IBD clients and their authorized agents to support informed onboarding, monitoring, and platform access decisions.
Customer service and client interaction: Provide professional, timely support to internal and external clients by responding to inquiries, communicating risk-related requirements, and helping resolve issues through clear and effective interaction.
Risk analysis and reporting: Collect, analyze, and synthesize data into reports, summaries, and working materials that identify trends, support business requests, and improve risk visibility.
Control environment support: Partner with business process owners to evaluate controls, identify gaps, and strengthen mitigation strategies across custody and clearing activities.
Business and regulatory awareness: Maintain current knowledge of custody and clearing operations, regulatory developments, and market events that affect RIAs, IBDs, custodians, and clearing firms.
Stakeholder partnership and process improvement: Build effective relationships across the organization to resolve issues, improve workflows, and support a strong risk culture.
Willingness to adopt and responsibly use AI-enabled tools to enhance analysis, efficiency, and decision support while maintaining sound judgment and accountability.
Build effective working relationships, communicate clearly in written and verbal formats, and deliver dependable support in both independent and team-based settings.

Requirements

Bachelor's: Accounting, Bachelor's: Actuarial Science, Bachelor's: Applied Mathematics

Nice to have

Foundational knowledge of risk management principles within custody and clearing businesses and the ability to apply them in a regulated financial services environment.
Working knowledge of financial markets, investment products, and relevant regulatory frameworks, including FINRA Rule 4311, the Investment Advisers Act of 1940, and Form ADV.
Proficiency with core business tools, including Microsoft Office applications and relationship management platforms such as Salesforce.
Exercise sound judgment, connect detailed findings to broader business risk, and prioritize multiple assignments while meeting deadlines.
SIE and Series 7 preferred.

Compensation

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.

Benefits

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.
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.

Company info

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

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