Regulatory Operations Analyst | Nonfinancial Regulatory Reporting | Financial Licensing Required-2400718
Description
40% in-office and up to 60% work-from-home, if desired. Must live within commutable distance from our home office.
Hybrid Work Environment
Our home office locations are St. Petersburg, FL, Memphis, TN and Southfield, MI.
Job Summary
Under minimal supervision, uses intermediate knowledge and skills obtained through experience and/or training to complete non-financial regulatory reporting and assist the firm in maintaining proper compliance with industry/firm rules and regulations.
Essential Duties and 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
Qualifications
Knowledge, Skills, and Abilities
Knowledge of
- 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
Skill in
- 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
Ability to
- 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
Educational/Previous Experience Requirements
- Bachelor's Degree (B.A.) in related field and
- minimum of two (2) years' experience
- Any equivalent combination of experience, education, and/or training approved by Human Resources
Licenses/Certifications
- provided that an exemption or grandfathering cannot be applied.
- SIE
- required
- ,
- Series 99
- or ability to obtain within 120 days (as required by FINRA)
- required
Raymond James Guiding BehaviorsAt Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firms core values of client-first, integrity, independence and a conservative, long-term view.We expect our associates at all levels toAt 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.
Job
Operations
Primary Location
US-MI-Southfield-Southfield
Other Locations
US-TN-Memphis-Memphis, US-FL-St. Petersburg-Saint Petersburg
Organization
Operations & Administration
Schedule
Full-time
Shift
Day Job
Travel
Yes, 10 % of the TimeEligible for Discretionary BonusYes#LI-CA1