Surveillance Risk Analytics Lead

Raymond James Financial, Inc.; Saint Petersburg (FL); On-site; USD 90,000 - 140,000; Full time

Benefits offered by this job

Benefits package

Medical insurance

Dental insurance

Vision insurance

Retirement plan

Paid time off

Parental leave

Job summary

Raymond James Financial, Inc. is seeking a seasoned professional to build and oversee risk-based surveillance of broker-dealer and investment adviser activities.

You will analyze large data sets, identify trends, and communicate findings to senior leadership to drive risk mitigation. This role requires extensive regulatory knowledge (SEC/FINRA), strong analytical skills, and the ability to deliver executive-level dashboards and reports.

Qualifications

• Bachelor’s degree in a related discipline with 6+ years in financial services, compliance, or risk.
• SIE required; Series 7 required or ability to obtain within 90 days.
• Strong knowledge of SEC/FINRA regulations and surveillance concepts.

Responsibilities

• Apply a risk-based surveillance framework to evaluate compliance and conduct risks.
• Develop executive dashboards and reports using Excel and PowerPoint.
• Conduct comprehensive surveillance reviews related to broker-dealer and investment adviser activities.
• Present findings and corrective actions to senior management.
• Collaborate with Vice Presidents and Chief Compliance Officers on investigations.

Skills

Surveillance analytics

Risk-based reviews

Data-driven methods

Executive communication

Stakeholder collaboration

Regulatory interpretation

Investigation of alerts

Thematic analysis

Dashboards & reporting

Education

Bachelor’s Degree in related discipline

Tools

Excel

PowerPoint

Word

Job description

Raymond James Financial, Inc. is seeking a seasoned professional to build and oversee risk-based surveillance of broker-dealer and investment adviser activities.

You will analyze large data sets, identify trends, and communicate findings to senior leadership to drive risk mitigation. This role requires extensive regulatory knowledge (SEC/FINRA), strong analytical skills, and the ability to deliver executive-level dashboards and reports.