Compliance Manager - Business Analyst

Job Description

Job Summary

Under intermittent supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to serve as a liaison between internal customers and the Project Management Office (“PMO”) to analyze, conceptualize, and document detailed project requirements. Provides project support through the analysis of multiple high-profile projects simultaneously, both large and broad in scope, including analyzing and documenting business scope, objectives, requirements, deliverables, and process flows. Guidance is provided to perform varied work that is frequently difficult in character requiring some evaluation and analysis to understand complex business needs. Extensive contact with internal customers is required to identify, analyze, and document business requirements.

Essential Duties And Responsibilities

• Adheres to established standards and maintains currency in business analysis practices, procedures, and techniques.
• Consults with users to identify, analyze, refine, and document business requirements.
• Develops conceptual design documents, including project definition, scope of work, objectives, process flows, and other deliverables to support projects.
• Reviews operational procedures and methods; defines and analyzes business activities; identifies best practices; and recommends improvements.
• Maintain currency in analyst skills.
• Provides logistical support, and performs other administrative duties, as needed, to support larger strategic initiatives.
• Communicates effectively with project stakeholders.
• Performs other duties and responsibilities as assigned.
  
  

Knowledge Of

Knowledge, Skills, and Abilities

• Functional, operational, and technical requirements of assigned project(s).
• Concepts of risk management, issue tracking, change management and requirements gathering.
• Compliance processes and regulatory expectations.
• Investment concepts, practices, and procedures used in the securities industry.
• Principles of banking and finance and securities industry operations.
• General financial industry knowledge and knowledge of supported business area.
• Concepts, practices, and procedures analyzing business processes.
• Investment concepts, practices and procedures used in the securities industry.
• The relationship between the PMO and business.
• Core business competencies such as finance, management, accounting, operations, and marketing.
• More detailed awareness of the business context of a technical solution, including specific business goals associated with the project, how the project will meet the goals, and their own part in advancing the goals.
  
  

Skill In

• Business Analysis tools: Microsoft Office suite (Word, Excel, PowerPoint, and Outlook), Change Management, Project Management tools (Smartsheet).
• Creating and interpreting process maps and flowcharts.
• Preparing various reports, summaries, surveys, and written recommendations.
• Developing project requirements and deliverables.
• Operating standard office equipment and using required software applications
  
  

Ability To

• Ask pointed questions to verify clear understanding of client issues.
• Analyze a business function and derive a set of requirements to satisfy a general request.
• Take ownership of an aspect or task on a project with little to no assistance.
• Actively communicate technical and business aspects of work efforts to team members.
• Mentor other analysts when necessary.
• Lead requirements gathering sessions.
• Provide a high level of customer service.
• Establish and maintain effective working relationships with others.
• Exhibit a positive attitude when dealing with others.
• Follow all internal procedures for handling customer requests.
• Communicate timely and through proper channels to keep customer and upper management informed of the progress of an issue.
• Take personal ownership of issues, following through to issue resolution.
• Attention to detail.
• Analyze and solve logic problems.
• Meet all deadlines created by management or clearly communicate to management the reasons the deadlines are not possible.
  
  

Education

Bachelor’s (Required)

Work Experience

General Experience - 6 to 10 years

Certifications

Other Certification Not Listed - Other

Salary Range

$100,000.00-$115000.00

Travel

Less than 25%

Workstyle

Remote

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.