Registered Regulatory Operations Analyst

Job Description Summary

The position is a hybrid role, 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 securities possession or control requirements.
• Ensures accuracy and completeness of regulatory reporting information for Daily Reserve and Monthly FOCUS.
• Monitors operational accounts and escalates issues to supervisors and line of business managers.
• Interprets new and evolving securities rules and regulations, updating processes as necessary.
• Collaborates with internal auditors to prepare operational account information for review.
• Develops and coordinates periodic operational performance reports and scorecards, providing trend analysis and strategic recommendations.
• Engages with business partners to identify and implement operational efficiencies and risk mitigation strategies.
• Executes testing strategies and leads testing efforts under supervision, communicating issues and making recommendations to management.
• Supports projects and performs other duties as assigned.

Knowledge and Skills

• Understanding of brokerage operations and alignment with business partners.
• Knowledge of financial industry rules, regulations, and laws.
• Ability to interpret financial and brokerage rules, regulations, and security laws.
• Skills in creating and evaluating operational procedures and systems.
• Proficiency in Microsoft Office and other relevant software.
• Proactive engagement and collaboration with business partners.

Education and Experience

• Bachelor’s degree in a related field (High School diploma is required).
• 7 to 12 months of general experience in brokerage operations.
• SIE certification required, Series 99 or equivalent required upon hire.

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. Benefits may include medical, dental, and vision insurance; life insurance; critical illness and accident insurance; disability benefits; retirement savings; paid time off (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

Raymond James expects associates to grow professionally, inspire others, and deliver results that matter. The company values client-first, integrity, independence, and a conservative, long-term view. Associates are expected to bring their best authentic selves to contribute to the firm's success.

EEO Statement

Raymond James is an equal opportunity employer and values diversity. We honor, value, and respect the uniqueness, experiences, and backgrounds of all associates.