Securities Review Analyst

Job Description Summary

Gather information, analyze operational risk performance, identify possible risks and make recommendations for operational improvements.

Exciting opportunity to gain exposure to the securities industry and become an asset within Risk Management through this unique role which offers visibility and interaction throughout the organization. In this role, every day will be different as new and emerging risks must be assessed and mitigated. Under direct supervision, uses knowledge and skills, obtained through education and/or experience, training and/or certification, to analyze and monitor the financial markets for emerging regulatory and reputational risks which may potentially impact the firm.

Recommends security-related restriction adjustments at an enterprise-level. Guidance is provided to perform varied work that is difficult in character requiring some evaluation, originality and ingenuity to make decisions. Resolves or recommends solutions to problems. Results are evaluated at agreed upon milestones for effectiveness. Routine contact with internal and external customers is required to identify, research and resolve problems.

• Passion for constantly monitoring regulatory changes and market-related events to analyze potential impact to the organization.
• Partners with colleagues and business process owners to enforce the control environment and develop recommendations to strengthen internal controls and mitigation strategies.
• Develops and maintains an in-depth understanding of business areas, its products, and supporting functions.
• Performs due diligence of higher risk products in compliance with program requirements to assist in identifying, analyzing and recommending changes to trading availability in order to minimize risk.
• Assists in performing reviews for assigned areas to identify key controls and mitigation strategies.
• Identifies, reviews, assesses, and documents risk management issues in assigned financial products or security-related transactions.
• Assists in preparing written reports and recommendations on the effectiveness of the trading status of various higher risk securities.
• Builds and maintains key relationships with stakeholders, including financial advisors and branch professionals, demonstrating a culture of engagement and assistance.
• Performs other duties and responsibilities as assigned.

• Fundamental concepts, practices and procedures of risk management.
• Fundamental concepts of financial markets and products.

• Strong interpersonal skills for interfacing with all levels of management and financial advisors.
• Strong analytical skills, particularly regarding assessing unusual activity within the financial markets or products.
• Enthusiastic, self‑motivated, effective under pressure.
• Proven ability to manage time and deliver against deadlines.

• Attend to detail while maintaining a big picture orientation.
• Communicate effectively.
• Gather information, identify linkages and trends, and apply findings to assignments.
• Interpret and apply policies and identify and recommend changes as appropriate.
• Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast‑paced work environment.
• Meet tight deadlines within budgeted hours.
• Work independently, demonstrating initiative and problem‑solving skills.
• Establish and maintain effective working relationships at all levels of the organization.
• Provide a high level of customer service.

• Bachelor’s Degree (B.A.)
• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Bachelor’s:
Actuarial Science, Bachelor’s:
Applied Mathematics, Bachelor’s:
Business Administration, Bachelor’s:
Finance

General Experience – 4 to 6 months

Other License Not Listed - Other

Less than 25%

Hybrid

• Entry level

• Full‑time

• Information Technology

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. Our people‑first culture honors, values, and respects 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.