Hybrid Sr. Reconciliation Specialist | Operations Risk & Control Dept. | Licensing Required bei Raymond James

%3Cdiv class=%22oj-label-group%22%3E%3Cstrong%3EHybrid Work Environment:%3C/strong%3E%3Cstrong%3E%26nbsp;%3C/strong%3E40% in-office and up to 60% work-from-home.%26nbsp; Must live within commutable distance from one of our home offices.%3C/div%3E%0A%3Cp style=%22margin-bottom: 0px; margin-top: 0px; font-family: Arial;%22%3E%26nbsp;%3C/p%3E%0A%3Cp style=%22margin-bottom: 0px; margin-top: 0px;%22%3E%3Cstrong%3EJob Summary%3C/strong%3E:%3C/p%3E%0A%3Cp style=%22margin-bottom: 0px; margin-top: 0px;%22%3E%26nbsp;%3C/p%3E%0A%3Cp style=%22margin-bottom: 0px; margin-top: 0px;%22%3EUnder minimal supervision, uses specialized knowledge and skills obtained through experience and/or training in the securities industry to reconcile various depositories and firm records. The associate will assist the firm in maintaining proper compliance with industry/firm rules and regulations. Proactively collaborates with management and team to identify opportunities for operational efficiency and process improvement to mitigate financial, reputational and regulatory risk. Applies new and changing rules and/or regulations to daily work. Works with management to update processes and departmental procedures to maintain compliance to rule changes. Resolves and implements solutions to complex problems. Extensive contact with other Operations departments in terms of research, identification of issues and escalation of discrepancies. Contact with external auditors/examiners as required to conduct walk-throughs of various functions with the ability to explain the process from beginning to end and respond to exam/audit requests.%3C/p%3E%0A%3Cp style=%22margin-bottom: 0px; margin-top: 0px;%22%3E%26nbsp;%3C/p%3E%0A%3Cp style=%22margin-bottom: 0px; margin-top: 0px;%22%3E%3Cstrong%3EEssential Duties and Responsibilities%3C/strong%3E:%3C/p%3E%0A%3Cp style=%22margin-bottom: 0px; margin-top: 0px;%22%3E%26nbsp;%3C/p%3E%0A%3Cul%3E%0A%3Cli%3ETakes ownership of and independently handles the resolution of complex discrepancies.%3C/li%3E%0A%3Cli%3ELeads cross-training of the team in processes to ensure appropriate bench strength%3C/li%3E%0A%3Cli%3EPerforms daily and weekly quality review of other%26rsquo;s work as needed to ensure accuracy and timeliness of completed work%3C/li%3E%0A%3Cli%3EMonitors daily reconciliations completed by the team to ensure Service Level Agreements are met%3C/li%3E%0A%3Cli%3EAssists management in new associate training and integration%3C/li%3E%0A%3Cli%3EWorks with Ops. Oversight team to help gather reconciliation explanation, backups, communication and screenshots as requested by auditors and examiners.%3C/li%3E%0A%3Cli%3EVerify and reconcile domestic and foreign securities held at various depositories%3C/li%3E%0A%3Cli%3EEnsures reconciliations are accurate, complete and that discrepancies have been resolved in a timely manner%3C/li%3E%0A%3Cli%3EPerforms data collection and analysis to ensure the firm is in compliance with regulatory requirements%3C/li%3E%0A%3Cli%3EEnsures industry rules, regulations and securities laws are adhered to for 15c3-3 and proper action is taken%3C/li%3E%0A%3Cli%3ECoordinates/participates in the quarterly examination and verification of physical securities held on premises%3C/li%3E%0A%3Cli%3EMaintains orderly and readily obtainable records for research and examination purposes%3C/li%3E%0A%3Cli%3EPerforms user testing of system enhancements and new software applications for accuracy and usability%3C/li%3E%0A%3Cli%3ECreates and maintains appropriate job procedures%3C/li%3E%0A%3Cli%3EPrepares summary documentation/work papers for special projects/observations, submitting to management for review and or action%3C/li%3E%0A%3Cli%3EEvaluates current processes and systems with the purpose of identifying gaps or creating efficiencies and process improvements%3C/li%3E%0A%3Cli%3EEscalates observations/issues to Management that require attention in order to mitigate risk%3C/li%3E%0A%3Cli%3EParticipates on projects as needed%3C/li%3E%0A%3Cli%3EPerforms other duties and responsibilities as assigned%3C/li%3E%0A%3C/ul%3E%0A%3Cp style=%22margin-bottom: 0px; margin-top: 0px;%22%3E%26nbsp;%3C/p%3E%0A%3Cp style=%22margin-bottom: 0px; margin-top: 0px;%22%3E%26nbsp;%3C/p%3E%0A%3Cp style=%22margin-bottom: 0px; margin-top: 0px;%22%3E%26nbsp;%3C/p%3E

Knowledge, Skills, and Abilities:

 

Knowledge of:

 

• Financial markets, products and regulatory requirements
• Back office brokerage operations (processes, terminology, systems)
• Fundamental project management tools, techniques and procedures
• General accounting procedures/concepts
• Brokerage operations and how functions performed by Regulatory Reconciliation align with business partners
• Financial industry rules, regulations and laws relating to processes performed by Regulatory Reconciliation
• Regulatory terminology, concepts, and guidance

 

Skill in:

 

• Learning and applying new information, skills and processes quickly
• Conducting quality control reviews for functions
• Executing training materials/programs
• Performing operational reconciliations
• Evaluating processes and systems with the goal of mitigating risk and creating efficiencies
• Microsoft Office (Word, Excel, PowerPoint)

 

Ability to:

 

• Identify relationships, draw logical conclusions and interpret results for use in decision making
• Demonstrate tact and leadership in providing feedback to management and peers
• Motivate other to use proper operations procedures
• Exhibit initiative and self-direction when performing tasks
• Demonstrate strong numerical aptitude and use critical thinking when solving operational problems
• Ability to work independently with attention to detail as well as collaboratively within a team environment
• Organize and prioritize multiple tasks with changing priorities in order to meet critical deadlines in a fast paced environment
• Ability to adapt to a constantly changing environment
• Communicate effectively, both orally and in writing
• Provide a high level of customer service
• Establish and maintain effective working relationships
• Retain knowledge and skills utilized during the rotation of functions
• Use sound judgment to solve problems.
• Read, comprehend, and apply technical information.

 

Educational/Previous Experience Requirements:

 

• Associate’s degree in a business-related field and a minimum of five (5) years of experience in the areas of cash and securities reconciliation, accounting, banking, and/or financial services industry.

~or~

• Any equivalent combination of education, training and/or experience.

 

Licenses/Certifications:

 

• SIE required provided that an exemption or grandfathering cannot be applied.
• Series 99 or the ability to obtain within 120 days (as required by FINRA).

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