Regulatory Operations Analyst (Hybrid) - Risk & Compliance

Raymond James; Saint Petersburg (FL); Hybrid; USD 60,000 - 80,000; Full time

Job summary

A leading financial services firm is seeking a Regulatory Operations Analyst to ensure compliance with industry regulations and improve operational efficiency. The role is hybrid, requiring in-office work in Saint Petersburg, Memphis, or Southfield. Responsibilities include regulatory reporting, risk mitigation, and collaboration with management. Ideal candidates possess a bachelor's degree, relevant certifications, and strong analytical skills. Join a culture focused on client-first values and continuous improvement.

Qualifications

• Minimum of 7 to 12 months of general experience required.
• SIE certification required unless exempted.
• Series 99 or equivalent needed before starting.

Responsibilities

• Monitor daily securities possession to ensure compliance.
• Compile regulatory reporting for Daily Reserve and Monthly FOCUS.
• Assist with new securities rules and update compliance processes.
• Plan and execute remediation efforts for identified issues.
• Coordinate periodic operational performance reports.

Skills

Quality control reviews

Procedure documentation

Risk evaluation

Training execution

Test strategies execution

Microsoft Office proficiency

Education

Bachelor's degree

High School diploma

Job description

A leading financial services firm is seeking a Regulatory Operations Analyst to ensure compliance with industry regulations and improve operational efficiency. The role is hybrid, requiring in-office work in Saint Petersburg, Memphis, or Southfield. Responsibilities include regulatory reporting, risk mitigation, and collaboration with management. Ideal candidates possess a bachelor's degree, relevant certifications, and strong analytical skills. Join a culture focused on client-first values and continuous improvement.