Senior Analyst, Broker Dealer Regulatory Reporting

880 Raymond James Financial, Inc.; Saint Petersburg (FL); Hybrid; USD 70,000 - 110,000; Full time

Job summary

Raymond James Financial, Inc. in St. Petersburg, FL, is seeking a regulatory reporting professional to support the customer reserve calculation under SEC Rule 15c3-3 and related filings.

You will compile inputs, analyze results, and prepare monthly and quarterly management reports, while coordinating with IT, Operations and Finance. Hybrid work arrangement, 3-6 years experience preferred.

Qualifications

• Bachelor’s degree in Accounting, Business Administration, or Finance.
• 3–6 years of general accounting/finance experience.
• Experience with broker/dealer regulatory reporting preferred.

Responsibilities

• Prepare and support customer reserve calculations under SEC Rule 15c3-3.
• Prepare monthly and quarterly management reports on drivers and variances of the reserve formula.
• Assist with regulatory report filings, journal entries, and month-end regulatory reporting post-closing activities.
• Collaborate with IT, Operations, Finance, and other departments to resolve data, system, and process questions.
• Assist with external audits, internal audits, and regulatory examinations by preparing support.

Job description

Job Description Summary

Under general supervision, uses knowledge and skills obtained through education, training, and experience to support broker/dealer regulatory reporting activities. The primary responsibility of this role is to prepare and support the customer reserve calculation in accordance with SEC Rule 15c3-3, including gathering source data, analyzing calculation inputs, documenting results, and escalating questions or exceptions as appropriate. The role may also assist with journal entries, financial analysis, FOCUS report preparation under SEC Rule 15c3-1, and other various SEC and FINRA regulatory filings.

Essential Duties and Responsibilities

• Prepare and support the customer reserve calculation in accordance with SEC Rule 15c3-3, including compiling inputs, performing reconciliations, analyzing results, and documenting support.
• Prepare monthly and quarterly senior management reporting on drivers and variances of the reserve formula.
• Assist with the review of calculation inputs, variances, exception items, and supporting schedules to help ensure accurate and timely regulatory reporting.
• Assist with regulatory report filings, journal entries, and month-end regulatory reporting post-closing activities.
• Assist in the development of procedures and flowcharts covering the preparation of the reserve calculation.
• Support process improvements, technology initiatives, and control enhancements related to customer reserve and other regulatory reporting processes.
• Work with IT, Operations, Finance, and other departments to research and resolve data, system, and process questions impacting regulatory reporting.
• Assist with external audits, internal audits, and regulatory examinations by preparing support and responding to information requests.
• Perform other duties and responsibilities as assigned.

Knowledge of Accounting concepts, practices and procedures, including reconciliations and financial analysis. Financial products. Broker/dealer regulatory rules, with emphasis on SEC Rule 15c3-3 customer reserve requirements and general exposure to SEC Rule 15c3-1. Internal controls and documentation standards as they relate to regulatory reporting processes. Broker/Dealer Operations SIS, IMPACT, PeopleSoft, Axiom/Adenza, and other systems used in regulatory reporting processes. MS Excel - (vlookups, pivot tables, macros, etc.). Skill in Managing multiple recurring tasks, deadlines, and priorities. Analyzing financial information. Supporting technology-related projects and process enhancements. Operating standard office equipment and using required software applications, including word processing, spreadsheets and data bases. Researching broker/dealer regulatory reporting questions with guidance from more experienced team members. Ability to Participate in meetings and contribute relevant information to support team outcomes. Follow established procedures and identify questions, exceptions, or improvement opportunities for escalation. Work independently on routine assignments and exercise sound judgment when escalating non-routine matters. Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives. Communicate status, questions, and potential issues clearly to team members and management. Explain or clarify financial and regulatory reporting information to internal stakeholders. Learn new processes, systems, and regulatory concepts and apply feedback to improve work product. Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast‑paced work environment. Provide a high level of customer service.

Education

Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Finance

Work Experience

General Experience - 3 to 6 years

Certifications

Travel Less than 25%

Workstyle

Hybrid

Compensation and Benefits

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.

Company Culture and Values

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.

Company Overview

Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm. Today, Raymond James has locations and subsidiaries across the United States, Canada, the United Kingdom and Germany, and is listed on the New York Stock Exchange under the symbol RJF. Thanks for your interest in working with Raymond James. While we might not have the perfect role for you today, we'd love to keep in touch. Our business is deeply focused on people and their financial well‑being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good are not mutually exclusive. As an established but ever‑evolving company, you can start – or continue – growing your career here. We invest in you with wide‑ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow. Our people‑first culture is outlined in our Culture Blueprint. Check it out to see why many choose to work at Raymond James – and why they stay.