Registered Regulatory Operations Analyst

Job Description Summary

The position follows a hybrid work model, requiring 2-3 days per week at one of three corporate offices: Saint Petersburg, FL, Memphis, TN, or Southfield, MI.

Essential Duties And Responsibilities

• Maintains compliance with the Customer Protection Rule (15c3-3) by monitoring daily securities possession or control requirements and communicating any issues to relevant business units.
• Ensures regulatory reporting information is compliant with industry regulations, compiling and reviewing data for Daily Reserve and Monthly FOCUS reporting.
• Monitors operational accounts for compliance with firm policies and industry regulations, escalating issues as necessary.
• Assists in interpreting new and evolving securities rules, assisting with process enhancements and updating departmental procedures.
• Supports internal auditors by compiling operational account information and providing trend analysis for operational performance reports and scorecards.
• Identifies and recommends solutions to operational challenges, working with internal partners to address issues and develop corrective action plans.
• Collaborates with managers to plan and execute remediation efforts, leading testing strategies under supervision and communicating any urgent issues to management.
• Develops and coordinates periodic operational performance reports and scorecards, providing strategic recommendations based on trend analysis.
• Participates in projects and performs other duties as assigned.

Knowledge and Skills

• Intermediate knowledge of brokerage operations and how they align with business partners.
• Understanding of financial industry rules, regulations, and laws related to operations.
• Knowledge of regulatory terminology, concepts, and guidance.
• Experience with accounting principles and concepts.
• Skills in conducting quality control reviews, creating procedure documentation, evaluating processes/systems, and identifying risks.
• Ability to execute test strategies, analyze data, and communicate findings effectively.
• Proficiency in operating office equipment and using Microsoft Office applications.
• Proactive engagement and collaboration with business partners to improve control and process efficiency.
• Ability to manage multiple tasks, meet deadlines, and adapt to a changing environment.
• Strong customer service skills.

Education and Experience

• Bachelor’s degree in a relevant field (High School diploma is required).
• 7 to 12 months of general experience in a similar role.
• SIE certification required, with Series 99 or equivalent preferred.

Travel

Yes, 10% of the time.

Compensation and Benefits

Total compensation includes base salary or wages, additional compensation (cash or equity), discretionary bonuses, or commissions. The benefits package may include medical, dental, and vision insurance; life insurance; critical illness and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Specific benefits and eligibility may vary based on position and employment status. For more details, visit Myrjbenefits.com.

Company Culture and Values

• Raymond James expects associates to grow professionally and inspire others to do the same.
• Associates are expected to work collaboratively, make prompt and pragmatic choices, take ownership, and hold themselves and others accountable for results.
• The company values diversity and encourages associates to bring their authentic selves to work.

Equal Opportunity Employer

Raymond James is an equal opportunity employer and values the unique experiences and backgrounds of all its associates.