Raymond James Financial, Inc

Surveillance Risk & Trends Manager

Raymond James Financial, Inc • $100K — $120K *
Saint Petersburg, FL 33710In-Person
Finance & Insurance
5 - 7 years of experience
Today
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Job Overview by Ladders

Qualifications

  • Bachelor's Degree in a related discipline.
  • Minimum of six years in financial services, compliance, or risk management.
  • Extensive knowledge of securities regulations and compliance frameworks.
  • Proficiency in data analysis and risk assessment methodologies.
  • Ability to effectively communicate complex findings to senior management.

Responsibilities

  • Apply a risk-based framework to assess compliance and conduct risks.
  • Utilize analytics platforms to detect trends and regulatory concerns.
  • Conduct surveillance reviews of broker-dealer and investment adviser activities.
  • Perform thematic risk analyses to identify underlying risk drivers.
  • Develop executive-level reports and dashboards for senior leadership.
  • Collaborate with internal stakeholders on investigation results and mitigation strategies.
  • Research regulatory developments to enhance surveillance activities.

Benefits

  • Medical, dental, and vision insurance.
  • Life, critical illness, and accident insurance.
  • Disability benefits.
  • Retirement savings plan.
  • Paid time off including vacation, holidays, and sick leave.
Full Job Description
Job Description Summary
Under intermittent supervision, extensive knowledge and skills obtained through education and experience in the securities industry and compliance to conduct surveillance of an array of broker-dealer and investment advisory risk topics utilizing data-driven and analytics-based tools. Applies a risk-based approach to identifying, assessing, and escalating conduct, regulatory, compliance, and reputational risks. Independently analyzes large and complex data sets to identify trends, patterns, anomalies, and emerging risk themes. Develops clear, executive-level summaries of outcomes and recommended next steps, as applicable. Works both independently and across the team on difficult assignments that are broad in nature, requiring analysis with a high degree of judgment and latitude for unreviewed actions or decisions. Maintains extensive contact with internal stakeholders to identify, research, analyze, and resolve complex issues.

Job Description

Essential Duties and Responsibilities

  • Apply a risk-based surveillance framework to evaluate potential compliance and conduct risks, assess business activities, and recommend appropriate escalation and resolution strategies.
  • Utilize advanced analytics, surveillance platforms, and data-driven methodologies to identify trends, anomalies, emerging risks, and potential areas of regulatory concern.
  • Conduct comprehensive surveillance reviews and investigations related to broker-dealer and investment adviser activities to detect potential violations of firm policies, industry standards, and regulatory requirements.
  • Perform thematic risk analyses to identify underlying risk drivers, control gaps, and emerging areas of concern across the organization.
  • Develop and deliver executive-level dashboards, reports, and presentations utilizing Microsoft Excel and PowerPoint to effectively communicate surveillance outcomes, risk trends, and actionable insights.
  • Support the reporting and ongoing evaluation of surveillance program effectiveness, including key activities, findings, and outcomes for Compliance Management.
  • Provide strategic, risk-based recommendations to senior leadership by leveraging regulatory expertise, industry knowledge, and analytical findings.
  • Research and interpret complex regulatory developments, compliance issues, and industry trends to inform surveillance activities and risk assessments.
  • Collaborate and engage regularly with Vice Presidents, Senior Vice Presidents, Chief Compliance Officers, and Supervision Management to discuss investigation results, emerging risks, and mitigation strategies.
  • Present investigative findings, thematic observations, and recommended corrective actions through clear, concise, and impactful written and verbal communications.
  • Perform other duties and responsibilities as assigned.


Knowledge, Skills, and Abilities

Advanced Knowledge of:
  • Concepts, practices, and procedures of securities industry and/or banking compliance risk management and/or surveillance.
  • Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies.
  • Fundamental investment concepts, practices and procedures used in the securities industry.
  • Principles of banking and finance and securities industry operations.
  • Financial markets and securities, investment products, insurance, annuities, and advisory programs.


Skill in:
  • Conducting risk-based surveillance reviews across broker-dealer and investment adviser activities.
  • Leveraging surveillance platforms, analytical tools, and data-driven methodologies to identify trends, patterns, anomalies, and emerging risks.
  • Documenting review rationale, conclusions, escalations, and outcomes in approved systems to support governance, audit, and regulatory defensibility
  • Assessing regulatory, compliance, conduct, and reputational risks and recommending appropriate escalation or mitigation strategies.
  • Investigating surveillance alerts, exceptions, and other identified irregularities to determine potential violations of firm policy or regulatory requirements.
  • Performing thematic analyses to identify risk trends, root causes, and control weaknesses.
  • Interpreting and applying SEC, FINRA, and investment adviser regulatory requirements to surveillance activities and risk assessments.
  • Researching complex compliance issues, regulatory developments, and industry trends.
  • Developing and enhancing surveillance reviews, monitoring processes, and risk identification methodologies.
  • Gathering, analyzing, and synthesizing information from multiple data sources to support risk assessments and investigations.
  • Preparing executive-level reports, dashboards, and presentations using Microsoft Word, PowerPoint, and Excel.
  • Summarizing complex findings into clear risk themes, conclusions, and actionable recommendations for management.
  • Communicating effectively through written reports, presentations, and discussions with senior management and stakeholders.
  • Making sound risk-based decisions through the application of analytical techniques, regulatory knowledge, and professional judgment.
  • Compiling information and preparing oral and written reports leveraging Microsoft Word, PowerPoint and Excel.


Ability to:
  • Interpret and apply securities and/or banking regulations and identify and recommend compliance changes as appropriate.
  • Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
  • Use appropriate interpersonal styles and communicate effectively with all organizational levels.
  • Work independently as well as collaboratively within a team environment.
  • Establish and maintain effective working relationships at all levels of the organization.
  • Attend to detail while maintaining a big picture orientation.
  • Maintain confidentiality.
  • Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance.


Educational/Previous Experience Requirements

  • Bachelor's Degree (B.A./B.S.) in a related discipline and a minimum of six (6) years of experience in the financial services industry, compliance, or risk management.

~or~
  • Any 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 7 required or the ability to obtain within 90 days.


Education

Work Experience

Certifications

Travel
Less than 25%

Workstyle
Hybrid

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

About Raymond James Financial, Inc

The Raymond James Technology and Communications Investment Banking Group is a committed and thoughtful partner that provides a full range of investment banking services and best practices. The group is comprised of experienced professionals that have extensive investment banking expertise. They leverage the industry expertise of Raymond James' award-winning research department. The group focuses on key sectors within technology and communications including: communications software, communication towers, defense electronics, enterprise software, internet infrastructure services, homeland security, IT services, mobile technology, semiconductors, software-as-a-service, telecommunications equipment, telecommunications infrastructure and support services, and wireless & wireline telecommunications services. They take pride in a client-centric approach to M&A, with focus on delivering independent solutions that creates value for the long term. The outcome of this unique approach may be seen in the successful transactions of their clients, including over 80 public offerings totaling $17 billion and over 85 strategic advisory transactions totaling over $5 billion in value since 1998.

Raymond James Financial, Inc Careers

Join the vibrant team at Raymond James Financial, Inc, a leading financial services company where innovation, leadership, and professional growth are at the forefront of our operations. As a hub of diversity and expertise, Raymond James offers unparalleled job opportunities that propel your career to new heights. Work You’ll Do At Raymond James Financial, Inc, you’ll collaborate with some of the most talented professionals in the financial industry. Our team is dedicated to providing strategic financial solutions and advice to our clients, helping them achieve their financial goals while fostering economic growth. With a culture rooted in leadership and diversity training, Raymond James is the perfect place to enhance your skills and thrive professionally. Join our market-leading team to assist a diverse range of clients, from individuals to large corporations, in navigating their financial planning with precision and innovative strategies. Lead in a role where your expertise directly influences the success and stability of our clients' financial futures. Work with a dynamic team of advisors and experts who are committed to pushing the boundaries of the financial sector through continuous innovation and exceptional client service. Raymond James Financial, Inc Job Opportunities Introducing the Raymond James Career Development Program We are committed to nurturing talent through our comprehensive career development program designed to provide every employee—from interns to senior leaders—with the tools and training necessary for success. Whether you’re just starting out with an internship or you’re a seasoned professional, Raymond James offers career paths that align with your ambitions and skills. Do Innovative Work Join a company where innovation is part of the daily routine. At Raymond James Financial, Inc, you’ll engage with cutting-edge financial tools and resources that keep you ahead in the industry. Our commitment to technology and innovation ensures that we stay at the forefront of financial services. Be Part of a Great Team Experience a collaborative environment where teamwork and networking are encouraged. Our inclusive culture supports diversity and offers benefits that ensure the well-being of all team members. At Raymond James, you’re not just an employee; you’re part of a family that values your unique contributions and supports your professional journey. Future-Proof Your Career Advance your career with Raymond James, where opportunities for growth are abundant. Benefit from our industry-leading training programs and gain certifications that will elevate your professional standing. With a focus on career longevity and satisfaction, Raymond James ensures that your professional journey is as rewarding as it is successful. Explore Discover the various positions available at Raymond James Financial, Inc that match your skills and interests. We are continuously hiring across multiple disciplines, eager to welcome passionate, curious, and solution-driven team players. Stay Connected Join Our Team Search open positions at Raymond James Financial, Inc and find the perfect match for your career aspirations. Explore a range of opportunities from financial advising to corporate roles that align with your professional skills and goals. Keep Up to Date Stay informed with the latest career tips, insider perspectives, and industry-leading insights—all from the professionals who thrive at Raymond James. Job Alert Emails Customize your subscription to receive job alerts, latest news, and insider tips tailored to your preferences. Discover the exciting and rewarding career opportunities waiting for you at Raymond James Financial, Inc. Join Raymond James Financial, Inc today and be part of a company that values innovation, leadership, and professional growth. Your future in the financial industry starts here.
Learn more about Raymond James Financial, Inc
Size
15,000 employees
Market Cap
$22.6 billion
Industry
Finance & Insurance
Net Income
$862 million
5 Year Trend
+11.6%
Revenue
$8.3 billion
NASDAQ
RJF
* Ladders Estimates

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