Regulatory Operations Analyst

Job Description Summary

Job Description

Join a collaborative and highly visible team responsible for ensuring the integrity and accuracy of critical Non-Financial Regulatory Reporting obligations. In this role, you'll leverage your expertise in regulatory operations to help support the firm’s compliance with SEC, FINRA, OCC, Federal Reserve, exchange and other regulatory reporting requirements while driving process improvements that strengthen risk controls and operational efficiency.

This hybrid-friendly position offers the flexibility of remote work combined with the benefits of in-person collaboration, requiring three days per week in our Southfield, MI or Memphis, TN office.

What You'll Do

As a Regulatory Operations Analyst, you will play a key role in managing and enhancing the firm's non-financial regulatory reporting program. The role partners with Operations, Trading, Compliance, Technology, Legal and Risk Management teams to investigate reporting issues, improve data quality, regulatory reporting controls and governance requirements.

Key Responsibilities

• Produce, validate, reconcile, and submit Non-Financial Regulatory reports, including:

  • Consolidated Audit Trail (CAT)

  • Electronic Blue Sheets (EBS)

  • Large Options Position Reports (LOPR)

  • Short Interest Reporting

  • Treasury International Capital (TIC)

  • SEC Schedule 13F

  • Other regulatory reporting obligations assigned

• Monitor reporting quality and identify, research, and resolve exceptions and data discrepancies.

• Partner with Brokerage Operations, Trading, Compliance, Technology, and Legal teams to address reporting issues and improve data quality.

• Evaluate new and changing regulatory requirements and support implementation efforts across impacted business areas.

• Participate in regulatory examinations, audits, and inquiries from FINRA, SEC, and other regulatory bodies.

• Conduct root-cause analysis and lead remediation efforts for identified reporting issues.

• Support risk assessments, testing initiatives, and control enhancements to strengthen regulatory reporting processes.

• Document procedures, workflows, and controls while identifying opportunities for automation and operational efficiencies.

• Contribute to special projects and strategic initiatives supporting regulatory compliance and operational excellence.

What We're Looking For

Experience

• Hands-on experience with Non-Financial Regulatory Reporting in a broker-dealer or financial services environment.

• Experience supporting regulatory reporting, compliance operations, or brokerage operations.

• Strong understanding of securities markets, trading activity, and the trade lifecycle, including:

  • Orders

  • Executions

  • Allocations

  • Settlements

  • Securities operations and reporting impacts

• Knowledge of FINRA, SEC, and exchange regulatory requirements.

• Experience analyzing data, researching exceptions, and resolving reporting discrepancies.

• Ability to work independently while managing multiple priorities in a fast-paced regulatory environment.

• Experience supporting regulatory examinations and audits.

• Experience with one or more regulatory reporting obligations Consolidated Audit Trail (CAT), Electronic Blue Sheets (EBS), Large Options Position Reports (LOPR), Short Interest Reporting or similar reporting requirements.

• Experience with process improvement, controls testing, or risk management initiatives.

• Familiarity with operational workflows within brokerage or clearing environments.

Knowledge & Skills

Technical Knowledge

• Artificial Intelligence (AI) and AI – assisted reconciliation and exception investigation

• Advanced Microsoft Excel (pivot tables, VLOOKUP, data validation and reconciliation

• Reporting and workflow management systems

• User Acceptance Testing (UAT) support

• Regulatory risk management and controls

Core Skills

• Regulatory reporting validation and reconciliation

• Understanding and application of regulatory requirements

• Analytical problem-solving and critical thinking

• Root-cause analysis and issue remediation

• Process improvement and workflow design

• Regulatory interpretation and implementation

• Strong written and verbal communication

• Cross-functional partnership and stakeholder management

Education/Experience

• Bachelor’s Degree (B.A.) in related field (preferred)

• 2-years’ experience in financial services, brokerage operations, regulatory reporting, compliance, securities operations (preferred)

• Any equivalent combination of experience and education

Licenses & Certifications

• Securities Industry Essentials (SIE) required prior to start unless exempt or grandfathered.

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

Candidates holding qualifying securities registrations (including Series 6, 7, 17, 37, 38, and certain principal-level registrations) may satisfy this requirement without additional examination.

Education

Bachelor’s: Accounting, Bachelor’s: Finance, High School (HS) (Required)

Work Experience

General Experience - 7 to 12 months

Certifications

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

Travel

Less than 25%

Workstyle

Hybrid

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave.  Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. 

We expect our associates at all levels to:
•  Grow professionally and inspire others to do the same
•  Work with and through others to achieve desired outcomes
•  Make prompt, pragmatic choices and act with the client in mind
•  Take ownership and hold themselves and others accountable for delivering results that matter
•  Contribute to the continuous evolution of the firm

At 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. 

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