Manager, Operations | Control Governance Team
Raymond James
- Petersburg, MI Southfield, MI
- Permanent
- Full-time
- 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.
- 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.
- 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.
- 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.
- 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
- An equivalent combination of experience, education, and/or training approved by Human Resources
- 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.