Regulatory Operations Analyst

Raymond James

Southfield, MI, US
**
Cat and cais regulatory reporting
Non-financial regulatory reporting
Trade and account data submissions
** Raymond James is seeking a Regulatory Operations Analyst to support compliance operations focused on regulatory reporting, particularly related to CAT and CAIS. The role involves collaboration with various internal stakeholders, ensuring accurate reporting and adherence to regulatory requirements, while offering a hybrid work schedule. **

Job Summary

  • This position supports the firm’s compliance with non-financial regulatory reporting requirements, ensuring accurate trade and account data submissions.
  • The role involves monitoring client assets, preparing and validating regulatory reports, and collaborating with various business units to ensure adherence to industry rules and firm policies.
  • The analyst will contribute to the interpretation and implementation of new regulatory requirements, offering insights and recommending process improvements.

Matching Summary

Match Score: 75

** Raymond James is seeking a Regulatory Operations Analyst to support compliance operations focused on regulatory reporting, particularly related to CAT and CAIS. The role involves collaboration with various internal stakeholders, ensuring accurate reporting and adherence to regulatory requirements, while offering a hybrid work schedule. **

Skills & Requirements

Must-have

  • CAT and CAIS regulatory reporting
  • Non-financial regulatory reporting
  • Trade and account data submissions
  • Monitoring possession and control of client assets
  • FINRA, SEC and Exchange trading rules

Nice-to-have

  • Identifying and mitigating risks
  • Interpreting new regulatory requirements
  • Process improvement recommendations
  • Collaborating with internal stakeholders

Key Requirements

  • SIE required
  • Series 99 required
  • 7 to 12 months general experience

Work Rights

Not specified

Tailored Resume

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