VP, Data and Reporting - Supervision (Hybrid) presso Raymond James Financial

Department Overview:

Raymond James Financial is a Florida-based diversified holding company, headquartered in St. Petersburg, FL. Raymond James provides financial services to individuals, corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset management.

The Supervision department partners closely with the business to proactively mitigate risk. Our department supports business units by managing activity/account reviews, product oversight, escalation/approvals and governance guided by specialized knowledge. Supervision is committed to supporting and protecting clients and the firm while preserving our culture, and adhering to our core values of client first, conservatism, independence and integrity.

At Raymond James, we are putting the power of perspectives into action and building an inclusive and diverse workforce that reflects our commitment to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships, and continuing education options

Job Summary:

The PCG Supervision Metrics Reporting team assists in the identification, development and regular reporting of metrics, key risk indicators (KRIs), key performance indicators (KPIs) and other data driven metrics and/or targets through data retrieval, analysis, and modeling.  The VP of Data and Reporting is a visible leader, responsible for the strategic design and build of data and reporting initiatives on behalf of PCG Supervision.  The VP will work closely with associates across PCG Supervision and IT to develop the strategic vision and roadmap to support, define and implement high-quality, data-driven reporting and quality assurance functions.  The VP will lead major projects with significant business impact that involves cross-functional teams and will oversee metrics development initiatives and quality assurance efforts.  The VP must have a track record of operating with a high level of autonomy, using extensive knowledge and skills in the securities or banking industry obtained through education and experience.  The leader must have strong problem-solving and decisive decision-making skills and be highly collaborative.  The VP of Data and Reporting reports directly to the Head of PCG Supervision Governance and Reporting.

Essential Duties and Responsibilities:

• Managing a team responsible for data-related initiatives, reporting and quality assurance exercises.

• Develop the strategic vision and annual roadmap for development of data models, dashboards, and reports.

• Lead multiple projects designed to develop regular and meaningful risk-related metrics, KRIs, KPIs on behalf of Supervision.

• Assess the effectiveness of certain functions via data analytics or other data-driven methods. 

• Establish and lead formal governance routines.

• Ensure accurate, consistent, and timely reporting. 

• Directly manage and develop staff, identifying training opportunities.

• Collaborate with stakeholders across Supervision, IT, and control functions to drive visionary, data-driven Firm initiatives to completion.

• Builds trust and rapport through all interactions to deliver the right outcomes for the business. 

• Key driver for high priority initiatives working across multiple stakeholders and various business functions and with a high level of organizational impact.

• A proven leader who can establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.

Knowledge, Skills, and Abilities:

Knowledge of:

 • KRIs, KPIs, and other data-driven metrics and targets.

• Data analytics, machine learning and artificial intelligence

• Business intelligence software (e.g. Tableau, Qliksense, PowerBI)

• Risk management concepts in the financial services industry.

• Comprehensive understanding of industry rules and regulations.

• Strong foundation in supervisory concepts, practices and procedures used in the securities industry, financial markets and financial products. 

• Human resource management principles and practices.

• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies sufficient to perform the functions of this job.

Skill in:

• Knowledge and experience with business intelligence tools: Tableau, Qlik, PowerBI etc.

• Knowledge and experience in developing KRIs, KPIs and other data-driven metrics and targets.

• Deep understanding of data analytics and reporting

• Effective interpersonal and communication skills

• Excellent writing skills  

• Strong organizational and analytical skills

• Detail oriented

• Excel and PowerPoint skills

• Project management skills and experience sufficient to successfully complete long and short-term projects

• Interviewing and selecting staff, coaching, and mentoring, and identifying and delivering training needs.

• Planning, assigning, monitoring, reviewing, evaluating, and supervising the work of others.

• Operating standard office equipment and using required software applications to reports, electronic communication, spreadsheets, and databases (E.g., Microsoft Office).

Ability to:

• Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently. 

• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels. 

• Attention to detail while maintaining a big picture orientation, balancing conflicting resource and priority demands.

• Foster a cooperative work environment and partner with other functional areas to accomplish objectives.

• Keep all appropriate parties up-to-date on decisions, changes, and other relevant information.

• Articulate reasons behind decisions.

• Project management skills and experience sufficient to successfully complete long and short term projects.

• Strong analytical skills, including demonstrated experience identifying and quantifying complex problems and providing effective resolutions.

• Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.

• Interpret and apply investment advisor regulations and identify and recommend changes in policies and procedures, as appropriate.

• Maintain confidentiality.

• Provide a high level of customer service.

Educational/Previous Experience Requirements:

• Bachelor’s degree (B.A) in a related discipline with a minimum of twelve (12)+ years of Supervision, Compliance, Legal, or Regulatory Risk Management experience in the financial services industry.
• A minimum of ten (10) years of managerial experience with knowledge and experience regarding a broad range of financial services.
• Graduate degree with substantial leadership experience preferred.
~or~
• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications:

• FINRA Series 7, 24 or 9/10 (or equivalent), S66 Preferred. Ability to obtain additional licenses within designated timeframe.   
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.