Sr. Regulatory Operations Analyst | Nonfinancial Regulatory Reporting

Raymond James

St. Petersburg, FL, USA
Hybrid
Monitoring client asset possession
Preparing regulatory reports
Validating regulatory reports
This position plays a key role in supporting the firm’s compliance with non-financial regulatory reporting requirements by monitoring client asset possession, preparing and validating reports, and ensuring adherence to rules and policies

Job Summary

  • This position plays a key role in supporting the firm’s compliance with non-financial regulatory reporting requirements by monitoring client asset possession, preparing and validating reports, and ensuring adherence to rules and policies.
  • The role involves collaborating with management to identify and mitigate risks, interpreting new regulations, and improving processes, while regularly interacting with internal stakeholders like compliance and audit teams.
  • The company offers a hybrid-friendly schedule with 3 in-office days per week at corporate home-office locations in St. Petersburg, FL; Memphis, TN; or Southfield, MI.

Matching Summary

This position plays a key role in supporting the firm’s compliance with non-financial regulatory reporting requirements by monitoring client asset possession, preparing and validating reports, and ensuring adherence to rules and policies.

Skills & Requirements

Must-have

  • monitoring client asset possession
  • preparing regulatory reports
  • validating regulatory reports
  • adhering to industry rules
  • mitigating financial risks
  • mitigating reputational risks
  • mitigating regulatory risks

Nice-to-have

  • collaboration and flexibility
  • continuous learning and development
  • interpreting evolving regulations
  • process improvement recommendations
  • client-first approach
  • integrity and independence

Key Requirements

  • 3 to 6 years general experience
  • SIE required
  • Series 99 required

Work Rights

Not specified

Tailored Resume

Cover Letter