Regulatory Operations Analyst

Raymond James Financial, Inc.; Southfield (MI); Hybrid; USD 65,000 - 90,000; Full time

Benefits offered by this job

Health benefits

Paid time off

Retirement savings

Hybrid work arrangement

Job summary

Raymond James Financial, Inc. is seeking a Regulatory Operations Analyst to maintain the integrity of non-financial regulatory reporting.

This hybrid role blends remote work with three days in Southfield, MI or Memphis, TN, collaborating with Operations, Trading, Compliance, Technology, Legal and Risk Management to investigate issues and strengthen controls. You will produce and submit CAT, EBS, LOPR, TIC, and Schedule 13F reports, monitor data quality, support regulatory examinations, and drive

Qualifications

• Bachelor’s degree in a related field; 2+ years in financial services or regulatory reporting.
• Experience with CAT, EBS, LOPR, TIC, SEC Schedule 13F; strong data governance.
• Strong data quality, issue resolution, and data governance capabilities.
• Ability to work independently in a fast-paced regulatory environment.
• Experience supporting regulatory examinations and audits.

Responsibilities

• Produce, validate, reconcile, and submit non-financial regulatory reports (CAT, EBS, LOPR, TIC, Schedule 13F).
• Investigate reporting issues and resolve data discrepancies.
• Partner with Operations, Trading, Compliance, Technology, Legal and Risk to improve data quality.
• Evaluate new regulatory requirements and support implementation across affected areas.
• Support regulatory examinations, audits, and inquiries from FINRA, SEC and others.
• Document procedures, workflows, and controls; identify automation opportunities.
• Contribute to special projects and strategic initiatives for regulatory compliance.

Skills

Regulatory reporting

Data analysis

Root cause analysis

Process improvement

Cross-functional collaboration

Securities knowledge

Education

Bachelor’s degree

Tools

Excel

Regulatory reporting systems

UAT support

Job description

Job Description SummaryJob DescriptionJoin 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 DoAs 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 ResponsibilitiesProduce, validate, reconcile, and submit Non-Financial Regulatory reports, including:Consolidated Audit Trail ( CAT )Electronic Blue Sheets ( EBS )Large Options Position Reports ( LOPR )Short Interest ReportingTreasury International Capital (TIC)SEC Schedule 13FOther regulatory reporting obligations assignedMonitor 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 ForExperienceHands-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:OrdersExecutionsAllocationsSettlementsSecurities operations and reporting impactsKnowledge 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 & SkillsTechnical KnowledgeArtificial Intelligence (AI) and AI – assisted reconciliation and exception investigationAdvanced Microsoft Excel (pivot tables, VLOOKUP, data validation and reconciliationReporting and workflow management systemsUser Acceptance Testing (UAT) supportRegulatory risk management and controlsCore SkillsRegulatory reporting validation and reconciliationUnderstanding and application of regulatory requirementsAnalytical problem-solving and critical thinkingRoot-cause analysis and issue remediationProcess improvement and workflow designRegulatory interpretation and implementationStrong written and verbal communicationCross-functional partnership and stakeholder managementEducation/ExperienceBachelor’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 educationLicenses & CertificationsSecurities Industry Essentials (SIE) required prior to start unless exempt or grandfathered.Series 99 or ability to obtain within 120 days (as required by FINRA), requiredCandidates holding qualifying securities registrations (including Series 6, 7, 17, 37, 38, and certain principal-level registrations) may satisfy this requirement without additional examination.EducationBachelor’s: Accounting, Bachelor’s: Finance, High School (HS) (Required)Work ExperienceGeneral Experience - 7 to 12 monthsCertificationsOS - Operations Professional - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)TravelLess than 25%WorkstyleHybridThe 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 firmAt 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.#LI-DM1