Regulatory Operations Analyst — Hybrid/Remote Reporting

Raymond James; Memphis (TN); Hybrid; USD 85,000 - 120,000; Full time

Benefits offered by this job

Health benefits

Dental & Vision

Retirement plan

Paid time off

Job summary

Raymond James is seeking a Regulatory Operations Analyst to join a hybrid team focused on ensuring integrity and accuracy of non-financial regulatory reporting. You will partner with Operations, Trading, Compliance, Technology, Legal and Risk to improve data quality, controls, and governance while supporting regulatory examinations.

The role offers hybrid work with 3 days per week in the Memphis, TN or Southfield, MI offices and opportunities to drive process improvements across CAT, EBS, LOPR

Qualifications

• 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.
• Knowledge of FINRA, SEC, and exchange regulatory requirements.
• Experience analyzing data, researching exceptions, and resolving discrepancies.
• Ability to work independently while managing multiple priorities in a fast-paced regulatory environment.
• Experience with regulatory examinations and audits.

Responsibilities

• Produce, validate, reconcile, and submit Non-Financial Regulatory reports (CAT, EBS, LOPR, etc.).
• Monitor reporting quality and resolve data discrepancies.
• Collaborate with Operations, Trading, Compliance, Technology, Legal, and Risk teams.
• Evaluate new/regulatory requirements and support implementation across business areas.
• Participate in regulatory examinations and audits; lead remediation efforts.
• Document procedures, workflows, and controls; identify automation opportunities.
• Support risk assessments, testing, and control enhancements.

Skills

Regulatory reporting

Data analysis

Issue remediation

Root-cause analysis

Cross-functional collaboration

Communication

Problem solving

Education

Bachelor’s Degree in related field

Securities Industry Essentials (SIE)

Series 99 license

Tools

Excel

Regulatory systems

Job description

Raymond James is seeking a Regulatory Operations Analyst to join a hybrid team focused on ensuring integrity and accuracy of non-financial regulatory reporting. You will partner with Operations, Trading, Compliance, Technology, Legal and Risk to improve data quality, controls, and governance while supporting regulatory examinations.

The role offers hybrid work with 3 days per week in the Memphis, TN or Southfield, MI offices and opportunities to drive process improvements across CAT, EBS, LOPR