Quality Assurance Senior Advisor - Supervision (Remote)

Department Overview:

Raymond James Financial is a Florida-based diversified holding company, headquartered in St. Petersburg, FL. Raymond James provides financial services to individuals, corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset management.

The Supervision department partners closely with the business to proactively mitigate risk. Our department supports business units by managing activity/account reviews, product oversight, escalation/approvals and governance guided by specialized knowledge. Supervision is committed to supporting and protecting clients and the firm while preserving our culture, and adhering to our core values of client first, conservatism, independence and integrity.

At Raymond James, we are putting the power of perspectives into action and building an inclusive and diverse workforce that reflects our commitment to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships, and continuing education options.

Job Summary

Under limited supervision uses specialized knowledge and skills obtained through education and experience to support PCG Supervision’s Quality Assurance program. The role requires knowledge of quality assurance, testing and/or audit practices and a general understanding of a controls framework. This person will work with functional areas and other control functions to monitor the quality of reviews conducted by PCG Supervision and report observations/make recommendations for improvement. This person will also seek to validate issues resolution through sampling and testing exercises.

Essential Duties and Responsibilities

• Perform quality assurance reviews, including analysis of policies/written supervisory procedures, record sample review, and report generation to confirm issue resolution, controls are operating as designed, and/or the quality of reviews are in line with written supervisory procedures.

• Assist in drafting testing scripts, reports or other documents related to the quality assurance program.

• Participate in governance routines.

• Collaborate across teams to ensure quality reviews are executed timely and accurately.

• Maintain routine contact with all stakeholders to identify, research and report issues, patterns, trends and gaps related to supervisory control environment.

• Identify meaningful patterns and trends to formulate observations and recommendations.

• Performs other duties as assigned.

Knowledge of

• Auditing or testing a control function

• A sound control environment

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

• Foundation in supervisory concepts, practices and procedures used in the securities industry, financial markets and financial products.

• Risk management concepts in the financial services industry.

• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies sufficient to perform the functions of this job

Skill in

• Excellent written and verbal communication skills

• Strong PowerPoint and Excel skills

• Investigating issues and irregularities

• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, presentations, and databases.

• Excellent organizational skills and ability to multi-task.

• Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies.

• Detail orientation to ensure information is clear, concise and accurate.

Ability to

• Analyze large data sets to identify gaps, pattern and trends

• Assess process flows from beginning to end, while confirming effectiveness.

• Gather information, identify linkages and trends and apply findings to improve internal controls

• Ability to work with and manipulate large data sets.

• Work under pressure on multiple tasks concurrently and meet deadlines

• Maintain effective working relationships at all levels of the organization

• Communicate effectively and professionally, both orally and in writing, with various organizational levels to accomplish objectives.

• Work independently as well as collaboratively within a team environment to solve problems

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

• Interpret and apply securities and/or banking regulations and identify and recommend changes as appropriate.

• Stay current in securities and/or banking industry rules, regulations and best practices

• Bachelor’s degree (B.A) in a related discipline and a minimum of three years (3) years of experience in Supervision and/or the financial services industry.

• An equivalent combination of experience, education, and/or training.

• None Required