Analytics-Driven Surveillance Risk & Trends Lead

100 Raymond James & Associates, Inc.; Saint Petersburg (FL); Hybrid; USD 120,000 - 170,000; Full time

Benefits offered by this job

Medical, dental, and vision Insurance

Life insurance

Retirement savings plan

Paid time off and holidays

Parental leave

Job summary

Raymond James & Associates in Saint Petersburg, Florida, is seeking a risk-focused Surveillance and Compliance Analyst. The role involves data-driven surveillance of broker-dealer and investment adviser activities, with independent analysis of large data sets and creation of executive summaries.

The position emphasizes collaboration with Vice Presidents and Senior Leaders in a hybrid environment. Requirements include a Bachelor’s Degree in a related field, 6+ years in finance/compliance, SIE,

Qualifications

• Bachelor’s Degree in a related discipline with a minimum of six years in financial services, compliance, or risk management.
• SIE required; Series 7 required or ability to obtain within 90 days.
• Travel Less than 25% and workstyle Hybrid.

Responsibilities

• Apply a risk-based surveillance framework to evaluate compliance and conduct risks and recommend escalation strategies.
• Utilize advanced analytics and data-driven methods to identify trends and emerging risks.
• Prepare executive-level dashboards and reports using Excel and PowerPoint.
• Collaborate with senior leadership to discuss findings and mitigation steps.
• Conduct surveillance reviews and investigations related to broker-dealer and investment adviser activities.

Skills

Surveillance analytics

Regulatory risk assessment

Executive reporting

Stakeholder communication

Education

Bachelor’s Degree in related discipline

Tools

Excel

PowerPoint

Surveillance platforms

Job description

Raymond James & Associates in Saint Petersburg, Florida, is seeking a risk-focused Surveillance and Compliance Analyst. The role involves data-driven surveillance of broker-dealer and investment adviser activities, with independent analysis of large data sets and creation of executive summaries.

The position emphasizes collaboration with Vice Presidents and Senior Leaders in a hybrid environment. Requirements include a Bachelor’s Degree in a related field, 6+ years in finance/compliance, SIE,