Document Control Analyst jobs in Saint Petersburg, FL

Under limited supervision, uses knowledge and skills obtained through experience, specialized training, and/or certification in the financial services industry to ensure that Loan and Deposit Operations’ business operations are conducted in a manner that sufficiently mitigates material risks to RJ Bank. The position is part of the RJ Bank Oversight & Control (O&C) Department which functions as the first line of defense for RJ Bank. Primary responsibilities include performing first-line testing and monitoring of Loan and Deposit Loan Operations controls, supporting Loan Operations Management during internal audits and regulatory exams, and partnering with key internal stakeholders to ensure deficiencies in the Loan and Deposit Operations control frameworks are appropriately addressed. The position also requires strong analytical, communication, and critical thinking skills with the ability to work collaboratively across multiple departments to identify creative solutions to complex problems

• Implements the Operation's first line of defense program within the RJ Bank O&C Department to ensure that material risks are identified and appropriately mitigated within established risk tolerances.

• Conducts first-line testing of Loan Operations and Deposit Operations to assess the effectiveness of controls at mitigating risks across various risk stripes including regulatory compliance, legal, operational, credit, and reputational risks.

• Assess control testing results against intended outcomes to identify the root cause and impact of control breakdowns or control gaps from a risk management perspective.

• Partner with Operations Management and internal stakeholders in other risk support functions to identify process improvements, technology solutions, additional training resources, etc. necessary to address control deficiencies.

• Summarize control testing results, identified issues, and recommended process improvements into formal reporting and distribute to Operations Management and other internal stakeholders.

• Work independently to execute the annual Loan and Deposit Operations monitoring & testing plan following scheduled timeframes and due dates.

• Provide advisory support to Operations Management during daily operations and during new business/change management initiatives to ensure that material risks are identified and appropriately addressed.

• Partner with the other lines of defense to support the three lines of defense risk management framework.

• Provide operational and strategic support during internal compliance and audit engagements as well as regulatory exams.

• Assist Operations Management in reviewing and maintaining department policies and procedures.

• Partner with RJ Bank Risk Management as a stakeholder in the Risk and Control Self-Assessment (RCSA) process throughout the calendar year.

• Perform other duties and responsibilities as assigned.

• Concepts, practices, and procedures of internal audit or internal control testing.

• Working knowledge of CFPB Consumer Lending Regulations including but not limited to FDPA, SCRA, HPA, RESPA, TILA, FCRA, ECOA, UDAAP/Regulation CC, Regulation DD, Regulation E, and E-Sign Act.
  

• Risk management concepts and methodologies including risk assessments.

• Consumer banking products and services including mortgage banking and asset-based lending.

• Advanced customer operations and financial industry knowledge.

• Operations and systems of assigned functional area.

• Identifying, reviewing, and implementing controls and quality assurance processes.
  

• Compiling information and preparing oral and written summaries and reports.
  

• Preparing and delivery of written and oral presentations to management.
  

• Investigating process and procedure breakdowns to determine root cause.
  

• Analyzing data, drawing conclusions, and identifying solutions to complex problems.

• Operating standard office equipment and using required software applications including Microsoft Office.

• Attend to detail while maintaining a big-picture orientation.
  

• Gather information, identify linkages and trends, and apply findings to assignments.
  

• Interpret and apply banking regulations and identify and recommend compliance changes as appropriate.
  

• Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
  

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

• Work independently as well as collaboratively within a team environment.
  

• Provide a high level of customer service.
  

• Establish and maintain effective working relationships at all levels of the organization.
  

• Maintain confidentiality.
  

• Keep abreast of banking industry rules and regulations and best practices in compliance.

• Bachelor’s degree (B.A. /B.S.) and a minimum of two (2) years of experience in Compliance and/or the financial services industry.

• ~OR ~

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

• None required.

Travel Required: Yes, 5 % of the Time

Raymond James Bank is an EOE/AA and VEVRAA Federal Contractor

Priority will be given to protected veterans

EOE/AA: Female/Minorities/Disabled/Protected Veterans/LGBT