Join the World's Top Legal Talent Network

Job Summary

Under intermittent supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to oversee the team who performs virtual inspections of branch technology equipment. This role requires close coordination with the branch exam managers to ensure reporting processes are properly aligned. Will interact with IT partners to address trends identified by the team. Additional responsibilities may include vendor contract analysis to ensure required components are evidenced and conditions of use are being tested. Responsible for ensuring IT assurance and compliance-related activities are completed following industry standards and regulatory requirements. This role is part of the branch examination program and includes a team focused on virtual computer reviews, server maintenance requirements, information security, and other technology-related security assessments within the PCG branch office locations to ensure compliance with firm policies and procedures. Demonstrates subject matter expertise and can integrate domain knowledge with an understanding of financial services standards and practices. Applies specialized business knowledge and technical skills to identify gaps in branch compliance with information security requirements and standards

Essential Duties And Responsibilities

 

• Seeks understanding of risks and procedures sufficient to understand the reasons for tasks being performed.
• Assesses the risks associated with the various business objectives and evaluates the controls in place to mitigate those risks.
• Oversees control assurance testing activities.
• Reviews work papers to ensure proper documentation of receipt of audit materials required to analyze, test, and evaluate the entity’s controls environment.
• Communicates findings to business leaders, compliance, and/or IT partners, as appropriate.
• Advises process owners on potential gaps in controls.
• Identifies, implements, and maintains processes and tools to support assurance, compliance, and remediate tracking activities (e.g. testing, maintenance of controls, documentation).
• Performs other duties and responsibilities as assigned.

Qualifications:

Knowledge, Skills, And Abilities

Knowledge of:

 

• Information security, with a specific focus or experience in testing end-user controls.
• Highly regulated environments like Financial Services.
• Financial markets and products.

Skill in:

 

• Report writing and technical writing to ensure report quality and track vulnerabilities.
• Planning and scheduling work to meet regulatory organizational and regulatory requirements.
• Strong organizational skills required, such as ability to multi-task

Ability to:

 

• Identify and understand issues, problems, and opportunities.
• Compare data from different sources to draw conclusions.
• Clearly convey information and ideas through a variety of media to individuals or groups in a manner that engages the audience and helps them understand and retain the message.
• Use effective approaches for choosing a course of action or developing appropriate solutions; recommend or take action that is consistent with available facts.
• Demonstrate a satisfactory level of technical and professional skill or knowledge in position-related areas; remains current with developments and trends in areas of expertise.
• Develop and use collaborative relationships to facilitate the accomplishment of work goals.
• Make internal and external clients and their needs a primary focus of actions; develop and sustain productive client relationships.
• Supervise, coach and mentor others.

Educational/Previous Experience Requirements

Education/Previous Experience

• Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of six (6) years of experience in Compliance and/or the financial services industry.
• Preferred, Bachelor’s degree in Computer Science, MIS, or related degree and five (5) years of relevant experience in auditing or risk assessing or combination of education, training and experience.

~or~

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

Licenses/Certifications

 

• None Required.
• Information Security certifications such as CISSP, GCCC, CIA, CISA, Security+, Network+, Linux+, or other SANS certifications are preferred
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

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.

Job :

Compliance

Primary Location :

United States

Organization :

RJF Corporate

Schedule :

Full-time

Shift :

Day Job

Travel :

No

Salary Range: CO, NY, CA, WA (based on Education, Work Experience, and Geographic Location)

140,000 - 180,000