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Raymond James · 1 day ago

CAT/CAIS Reporting Analyst –Remote Flexibility for Qualified Candidates

United States

Full-time

Remote

New Grad, Entry Level

0+ years exp

Raymond James is seeking a detail-oriented professional with hands-on experience in regulatory reporting, specifically with CAT and CAIS, to support their compliance operations. The role involves monitoring client assets, preparing and validating regulatory reports, and ensuring adherence to industry rules and policies.

BankingFinancial ServicesInformation TechnologyInsuranceWealth Management

Growth Opportunities

No H1B

Responsibilities

Responsible for the production, validation and submission of non-financial regulatory reports (e.g., Consolidated Audit Trail (CAT) Electronic Blue Sheets (EBS), Large Options Position Report (LOPR), etc.)

Collaborates with other business units (Brokerage Operations, Trading, Compliance, IT, and Legal)

Assists and provides input in the interpretation of new/changing securities rules, regulations, policies or laws; updates processes for compliance to rules and regulations as well as departmental procedures

Compiles operational information for internal and external auditors (e.g. FINRA, SEC) with limited oversight

Plans and executes remediation efforts for any identified issues with minimal guidance/support from Supervisor/Manager; assists the Manager or Senior Analyst in formalizing milestones needed in order to implement corrective action plans for any identified issues

Assists Manager or Senior Analyst in the design, planning, and execution of testing strategies; under direct supervision, may lead the testing efforts of other analysts; communicate any issues to management that require immediate attention in a clear and concise manor; draft recommendations to mitigate risk

Participates on projects

Performs other duties and responsibilities as assigned

Qualification

CAT reportingCAIS reportingRegulatory reportingFINRA regulationsSEC regulationsMicrosoft OfficeWritten communicationVerbal communicationCritical thinkingCollaboration

Required

Detail-oriented professional with hands-on experience in regulatory reporting, specifically with CAT and CAIS

SIE required (prior to start), provided that an exemption or grandfathering cannot be applied

Series 99 required, or ability to obtain within 120 days (as required by FINRA)

Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination

Collaborates with other business units (Brokerage Operations, Trading, Compliance, IT, and Legal)

Compiles operational information for internal and external auditors (e.g. FINRA, SEC) with limited oversight

Participates on projects

Performs other duties and responsibilities as assigned

Knowledge of Non-Financial Regulatory reporting requirements

Knowledge of Financial market impacts

Knowledge of Regulatory terminology, concepts, and guidance

Knowledge of Back Office brokerage operations processes and procedures

Knowledge of Trading life cycle (Orders, Executions, Allocations)

Knowledge of FINRA, SEC and Exchange trading rules, regulations and laws

Skill in creating procedures and business process workflow documentation

Skill in evaluating processes/systems and identifying risks and controls

Skill in recommending appropriate actions/revisions to resolve gaps or mitigate risk

Skill in Microsoft Office (Excel, Access, PowerPoint) and other software applications

Skill in written and verbal communication

Skill in operating standard office equipment

Ability to proactively engage, collaborate and influence business partners in the adoption of identified opportunities to create or enhance a process

Ability to support efforts in the evaluation or implementation of an existing or new process

Ability to interpret financial/brokerage rules, regulations and security laws; ensure all industry rules, regulations, and the practice follows security laws that apply to a process

Ability to manage multiple tasks with potential interruptions and changing priorities

Ability to quickly understand complex subject matters

Ability to demonstrate critical thinking in a constantly changing environment

High School (HS) (Required)

General Experience - 7 to 12 months

OS - Operations Professional - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Less than 25% travel