Manager, Operations Control Governance Team

Description

Hybrid : This position will follow our hybrid work model; we expect the selected candidate to be in the office 2-3 days a week at one of the following Corporate Office locations: St. Petersburg, FL, Memphis, TN, or Southfield, MI.

Job Summary:

The Manager of the Operations Control Governance Team leads a team responsible for overseeing core control governance across the Operations Division of Raymond James & Associates reporting into the Vice President, Operations Risk & Control. This role requires a comprehensive understanding of risk and control management as it relates to a brokerage operations environment. The Manager will need to be able to engage with multiple senior leaders, provide effective challenge to current practices and effectively work across multiple teams and business lines to execute on mandated risk programs. As such, the position requires strong communication skills necessary to work and negotiate internally at senior levels within Operations as well as with Auditors, Consultants and Enterprise Risk Managers, along with program management skills and the ability to manage multiple priorities simultaneously.

The Manager must be able to effectively lead a team of Analysts and Senior Analyst professionals who support divisional risk and control coverage across Operations including risk event reporting, issue management, root cause analysis, governance reporting, audit management, RCSA, and divisional support adhering to various Enterprise Risk Management programs.

Essential Duties and Responsibilities:

• Performs human resource management activities, including identifying performance problems and approving recommendations for remedial action; evaluating performance; and interviewing and selecting staff.

• Leads and/or supports the management of various audits and reviews impacting RJA Operations including SOX / 17a5, SOC1, FICCA, regulatory examinations, and various compliance control reviews including managing staff augmentation resources for annual audit evidencing.

• Manages governance reporting functions to contribute to the Operations Risk Board, including the preparation of the report and presentation to the executive leadership and Board Members.

• Manages the development of data requirements and implementation of consolidated control metrics for Operations.

• Assists in the development and implementation of core control standards across the Operations division.

• Oversees the timeliness, accuracy and completeness of projects to adhere to required Enterprise Risk programs and standards including but not limited to risk taxonomy, risk and controls self-assessments (RCSA), issue management, and privacy incidents.

• Coaches and mentors subordinates and identifies training needs and creates development plans.

• Performs periodic reporting on work progress, project completions and additional ad-hoc reporting as required.

• Maintains regular contact with senior manager or director and other internal customers to identify, research and resolve issues.

• Ensures effective coordination occurs between assigned functional area(s) and other areas.

• Uses financial data and performance indicators to establish control mechanisms and other improvement initiatives.

• Performs other duties and responsibilities as assigned.

Qualifications

Knowledge, Skills, and Abilities:

Knowledge of:

• Concepts, principles and practices of assigned functional area(s), such as risk and control framework and methodologies.

• Investment concepts, practices and procedures used in the securities industry.

• Principles of banking and finance and securities industry operations.

• Financial markets and products.

Skill in:

• Preparing and reviewing operational budgets.

• Interpreting and applying policies and procedures.

• Establishing operational objectives.

• Developing processes and procedures for efficient and timely workflow.

• Preparing management reports.

• Promoting effective coordination between multiple work groups and functional areas.

• Identifying trends and implementing appropriate corrective action.

• Establishing control mechanisms.

• Implementing process improvement initiatives.

Ability to:

• Perform human resource management activities.

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

• Coach and mentor others.

• Balance conflicting resource and priority demands.

• Anticipate obstacles and define alternative strategies.

• Partner with other functional areas to accomplish objectives.

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

• Incorporate needs, wants and goals from different business unit perspectives into operational processes.

• Gather information, identify linkages and trends and apply findings to operations.

• Incite enthusiasm and influence, motivate and persuade others to achieve desired outcomes.

• Communicate effectively, both orally and in writing.

• Work independently as well as collaboratively within a team environment.

• Initiate projects, measure risks and analyze impact on the business.

• Lead others in providing a high level of customer service.

• Establish and maintain effective working relationships at all levels of the organization, including negotiating resources.

Educational/Previous Experience Requirements:

• Bachelor's Degree in a related field and eight (8) years' experience in operations, including three (3) years in a management position in the financial services industry

OR

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

Licenses/Certifications:

• SIE required provided that an exemption or grandfathering cannot be applied.

• Series 99 , or ability to obtain within 120 days (as required by FINRA) , required .

Job: Operations

Primary Location: US-FL-St. Petersburg-Saint Petersburg

Other Locations: US-TN-Memphis-Memphis, US-MI-Southfield-Southfield

Organization Operations & Administration

Schedule Full-time

Job Shift Day Job

Travel Yes, 20 % of the Time

Req ID: 2401226