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Senior Associate, Compliance and Supervision Data Analyst - Req. 1901775


Job Summary:
As a member of the Compliance and Supervision Systems Management team, this position plays an important role in Raymond James’ efforts to manage compliance risk, ensure supervision needs are accommodated, and maintain the trust of its clients and regulators.

In collaboration with key business stakeholders, the Analyst will capture and refine both data and enhancement requests while maintaining and grooming the request backlog. The Analyst will establish and conduct monitoring controls for business governance and trend management. The Analyst will help create and mature Incident Management and escalation processes. The Analyst will work with business partners to gather requirements and produce resulting data outputs for analysis and metrics reporting.  This will improve the organization’s ability to efficiently surveil and monitor.  In collaboration with IT Partners, the Analyst will drive change requests to successful implementation and adoption. The Analyst will work closely with partners in Compliance, Supervision, business units as well as IT.

Essential Duties and Responsibilities:
• Maintain existing and create new reports on a scheduled and on an as needed basis
• Collaborate to create business requirements and produce appropriate data and metrics to inform decisions
• Collaborate directly with other business partners (i.e. Supervision) to provide ad-hoc support data and information.
• Use visualization techniques to show results of analyses so non-technical people readily understand them
• Play a key role in communicating issues identified during tuning/testing to management and IT, so they can be addressed promptly
• Document design of parameters, tuning, and subsequent optimization to provide a clear audit trail
• Assist management in tracking system changes, data validation and parameter changes to provide a comprehensive change management audit trail
• Plan and prepare technical reports and desktop procedures to document program health and status
• Assist management in data validation and other system testing
• Performs other duties and responsibilities as assigned.




Knowledge, Skills, and Abilities:
Knowledge of:

• Financial services firms (wealth management/ brokerage, retail banking, small business banking, commercial, institutional, private banking)
• Statistical/ data analysis, including data quality validation, descriptive statistics and modeling Risk or Compliance functions desirable

Skill in:
• MS Excel and Word
• Verbal and written communication
• Report creation and administration
• Qlik experience desirable
• SQL experience desirable

Ability to:
• Understand production output from transaction monitoring and e-communication technology.
• Produce meaningful reports from data used by the surveillance/ monitoring systems for communication to senior management.
• Orchestrate Incident Management issues and occurrences, driving towards remediation and escalating as necessary.
• Translate business requests into technology requirements. 

Educational/Previous Experience Requirements:
• Associate’s Degree and a minimum of two (2) years of experience in Compliance and/or the financial services industry preferred.
• Any equivalent combination of experience, education, and/or training approved by Human Resources.

• Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe

Raymond James Guiding Behaviors

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