Sr. Advisor, PCG IT Branch Exams

Job Description Summary

Under general supervision, uses knowledge and skills obtained through experience, specialized training and/or certification in securities industry to focus on virtual endpoint security reviews, network security reviews, and other technology-related security assessments within the PCG branch office locations to review for compliance with firm policies and procedures as part of the branch examination program. The role will be responsible for interactions with branch personnel to perform the virtual inspections of branch technology equipment. It will require close coordination with branch examiners to ensure timely reporting of any issues noted. Additional responsibilities may include testing to validate that conditions of use are followed for third party vendors and systems. Responsible for completing IT assurance and compliance-related activities following industry standards and regulatory requirements. Demonstrates subject matter expertise and can integrate domain knowledge with an understanding of financial services standards and practices. Applies specialized business knowledge and technical skills to identify gaps in branch compliance with information security requirements and standards.

Job Description

Essential Duties and Responsibilities

• Seeks understanding of risks and procedures sufficient to understand the reasons for tasks being performed.

• Assess the risks associated with the various business objectives and evaluate the controls in place to mitigate those risks.

• Performs control assurance testing activities.

• Conducts interviews, virtual walk-throughs, and documents results.

• Prepares work papers and coordinates receipt of audit materials required to analyze, test, and evaluate the branch’s controls environment.

• Communicate findings to business, compliance, and/or IT partners, as appropriate.

• Advise process owners on potential gaps in controls.

• Identifies, implements, and maintains processes and tools to support assurance, compliance, and remediation tracking activities (e.g. testing, maintenance of controls, documentation).

• Performs other duties and responsibilities, as assigned.

Knowledge, Skills, and Abilities

• Strong background in information security, with a specific focus or experience in testing end-user and network controls.

• Strong organizational skills required, such as ability to multi-task and manage multiple examinations at once.

• Report writing and technical writing skills.

• Identify and understand issues, problems and opportunities; compare data from different sources to draw conclusions. 

• Clearly convey information and ideas through a variety of media to individuals or groups in a manner that engages the audience and helps them understand and retain the message. 

• Use effective approaches for choosing a course of action or developing appropriate solutions; recommend or take action that is consistent with available facts.

• Demonstrate a satisfactory level of technical and professional skill or knowledge in position-related areas; remains current with developments and trends in areas of expertise. 

• Develop and use collaborative relationships to facilitate the accomplishment of work goals. 

• Make internal and external clients and their needs a primary focus of actions; develop and sustain productive client relationships.

Educational/Previous Experience Requirements

• Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of three (3) years of experience in the financial services industry, compliance, or risk management.       

~or~

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

• None Required.

• Information Security certifications such as CISSP, GCCC, CIA, CISA, Security+, Network+, Linux+, or other SANS certifications are preferred.

Education

Work Experience

Certifications

Salary Range

$80,000.00-$120,000.00

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 lev