Risk Analyst, RCS
Core
Monitor and analyze operational risk exposure for Registered Investment Advisers and Introducing Broker Dealers on the Raymond James platform, supporting due diligence, control evaluation, and regulatory compliance.
Role type
Risk Analyst (Financial Services)
Builds
Risk frameworks, due diligence reports, and control mitigation strategies for custody and clearing activities.
Domain
Financial Services / Investment Advising / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Risk management principles, FINRA Rule 4311 knowledge, Investment Advisers Act of 1940 knowledge, Form ADV knowledge, Data analysis, Microsoft Office proficiency, Salesforce proficiency
Preferred skills
SIE certification, Series 7 certification
Technologies
Salesforce, Microsoft Office
Responsibilities
Conduct due diligence on prospective and existing RIA and IBD clients and their authorized agents; Collect, analyze, and synthesize data into reports to identify trends and improve risk visibility; Partner with business process owners to evaluate controls and identify gaps; Maintain current knowledge of custody and clearing operations and regulatory developments.
Seniority
Junior, individual contributor
