Senior Analyst, International/Cross Border Strategy at Raymond James

Job Description Summary

The Analyst will facilitate review and maintain oversight responsibility for new international relationships entered into by the wealth management business. This will require, with appropriate support, the development of an extensive familiarity with country rules specific to account opening, an understanding of the business of the firm and account types, and the ability to monitor and assess compliance with the institution’s related policies and procedures. The Analyst will also maintain responsibility for review of exception and monitoring reports, oversight and compliance with cross border policies, with an ability to assess and advice on addressing violations with respect to cross border gatekeeping activities.
This role will work in a dynamic team, and require building and maintaining strong relationships with all levels of the business, in order to develop pragmatic and effective solutions.
The individual should have a minimum of 1-3 years of risk, compliance, or supervisory experience with a financial services firm, with experience in international or cross border business activities preferred.

Job Description

Essential Duties and Responsibilities:

• Support review and oversight of account establishment and addition of services in international client accounts to monitor compliance to country guidelines.
• Support reviews and oversight of monitoring and exception reports with a view towards detection of compliance breaches of country guidelines, including account set-up and address change breaches.
• Ability to execute operational processes in an organized and efficient manner.
• Cultivate working relationships with home office and field/branch partners.
• Ability to understand and apply Firm policies as it relates to the conduct of International business activities.
• Engages with internal partners as necessary to ensure appropriate assessment and handling of significant risk issues.   
• Ability to update management on progress and gaps.
• Assists and supports International/Cross Border team on projects and program implementation wherever needed.

Knowledge, Skills, and Abilities:

• Superior analytical skills with ability to solve complex problems, analyze large amounts of information, and identify, assess and execute on solutions.
• Ability to balance supporting compliance in regulated environment with service-focused mindset.
• Superior communication and reasoning skills, both written and verbal, to effectively communicate with financial advisors, senior leadership, peers, and staff in a diverse and complex organization.
• High proficiency in MS Excel and Word.
• Ability to optimize work processes, multi-task, handle multiple projects with demonstrated follow-through.
• Strong drive to implement solutions, working with multiple parties throughout Raymond James.
• Fluent in Spanish and/or Portuguese preferred
• Ability to optimize work processes, multi-task, and handle multiple projects.
• Strong internal personal skills communication skills
• Extensive knowledge in cross border business accounts, entity structures and documentation requirements.

Education

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

Work Experience

General Experience - 3 to 6 years

Certifications

Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Travel

Less than 25%

Workstyle

Hybrid

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

At Raymond James – as part of our people-first culture, we honor, value, and respect 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. 

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