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Raymond James · 15 hours ago

Registered Regulatory Reporting Analyst | Memphis, TN

Memphis, TN

Full-time

Hybrid

New Grad, Entry Level

0+ years exp

Raymond James is seeking a detail-oriented Registered Regulatory Reporting Analyst to support compliance operations within their Non-Financial Regulatory Reporting department. The role involves monitoring client asset control, preparing regulatory reports, and collaborating with management to mitigate risks and ensure compliance with industry regulations.

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

Regulatory ReportingCATCAISSIE CertificationSeries 99 CertificationFINRA RegulationsSEC RegulationsMicrosoft OfficeWritten CommunicationVerbal CommunicationCritical Thinking

Required

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

Series 99 required (prior to start). 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

High School (HS) (Required)

General Experience - 7 to 12 months

Non-Financial Regulatory reporting requirements

Financial market impacts

Regulatory terminology, concepts, and guidance

Back Office brokerage operations processes and procedures

Trading life cycle (Orders, Executions, Allocations)

FINRA, SEC and Exchange trading rules, regulations and laws

Creating procedures and business process workflow documentation

Evaluating processes/systems and identifying risks and controls

Recommending appropriate actions/revisions to resolve gaps or mitigate risk

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

Written and Verbal Communication

Operating standard office equipment

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

Support efforts in the evaluation or implementation of an existing or new process

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

Manage multiple tasks with potential interruptions and changing priorities

Quickly understands complex subject matters

Demonstrate critical thinking in a constantly changing environment