Raymond James Financial Services
Regulatory Operations Analyst | Financial Licensing Required
Raymond James Financial Services, Memphis, Tennessee, us, 37544
Job Description Summary
Job Description
Please note: This role is not eligible for Work Visa sponsorship, either currently or in the future.
This position follows our hybrid-friendly schedule, so you get the best of both worlds - flexibility and collaboration. In office days will be 3 per week averaging 12 days per month in one of the following corporate home office locations: Memphis, TN or Southfield, MI.
The Regulatory Operations Analyst plays a key role in supporting the firm's compliance with non-financial regulatory reporting requirements. Leveraging advanced knowledge and experience, this role is responsible for monitoring the possession and control of client assets, preparing and validating regulatory reports, and ensuring adherence to applicable industry rules and firm policies.
The team is specifically seeking candidates with relevant experience in
Trading or Compliance , as this background provides valuable context for understanding regulatory obligations and operational risk.
This position collaborates closely with management to identify and mitigate financial, reputational, and regulatory risks. The analyst also contributes to the interpretation and implementation of new or evolving regulatory requirements, offering insights and recommending process improvements. Regular interaction with internal stakeholders, including compliance teams and internal auditors, is essential to investigate and resolve observations and ensure the integrity of reporting practices.
Licenses/Certifications: SIE required
(prior to start), provided that an exemption or grandfathering cannot be applied. Series 99 required,
or
ability to obtain within 120 days
(as required by FINRA). Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination. Responsibilities :
Responsible for the production, validation and submission of non-financial regulatory reports (e.g., Consolidated Audit Trail (CAT) Electronic Blue Sheets (EBS), Large Options Position Report (LOPR), etc.) Collaborates with other business units (Brokerage Operations, Trading, Compliance, IT, and Legal) Assists and provides input in the interpretation of new/changing securities rules, regulations, policies or laws; updates processes for compliance to rules and regulations as well as departmental procedures Compiles operational information for internal and external auditors (e.g. FINRA, SEC) with limited oversight Plans and executes remediation efforts for any identified issues with minimal guidance/support from Supervisor/Manager; assists the Manager or Senior Analyst in formalizing milestones needed in order to implement corrective action plans for any identified issues Assists Manager or Senior Analyst in the design, planning, and execution of testing strategies; under direct supervision, may lead the testing efforts of other analysts; communicate any issues to management that require immediate attention in a clear and concise manor; draft recommendations to mitigate risk Participates on projects Performs other duties and responsibilities as assigned Knowledge of :
Non-Financial Regulatory reporting requirements Financial market impacts Regulatory terminology, concepts, and guidance Back Office brokerage operations processes and procedures Trading life cycle (Orders, Executions, Allocations) FINRA, SEC and Exchange trading rules, regulations and laws Skill in:
Creating procedures and business process workflow documentation Evaluating processes/systems and identifying risks and controls; Recommending appropriate actions/revisions to resolve gaps or mitigate risk Microsoft Office (Excel, Access, PowerPoint) and other software applications Written and Verbal Communication Operating standard office equipment Ability to:
Proactively engage, collaborate and influence business partners in the adoption of identified opportunities to create or enhance a process Support efforts in the evaluation or implementation of an existing or new process Interpret financial/brokerage rules, regulations and security laws; ensure all industry rules, regulations, and the practice follows security laws that apply to a process Manage multiple tasks with potential interruptions and changing priorities Quickly understands complex subject matters Demonstrate critical thinking in a constantly changing environment
Education High School (HS) (Required)
Work Experience General Experience - 7 to 12 months
Certifications OS - Operations Professional - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)
Travel Less than 25%
Workstyle Hybrid
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. #LI-CA1
Job Description
Please note: This role is not eligible for Work Visa sponsorship, either currently or in the future.
This position follows our hybrid-friendly schedule, so you get the best of both worlds - flexibility and collaboration. In office days will be 3 per week averaging 12 days per month in one of the following corporate home office locations: Memphis, TN or Southfield, MI.
The Regulatory Operations Analyst plays a key role in supporting the firm's compliance with non-financial regulatory reporting requirements. Leveraging advanced knowledge and experience, this role is responsible for monitoring the possession and control of client assets, preparing and validating regulatory reports, and ensuring adherence to applicable industry rules and firm policies.
The team is specifically seeking candidates with relevant experience in
Trading or Compliance , as this background provides valuable context for understanding regulatory obligations and operational risk.
This position collaborates closely with management to identify and mitigate financial, reputational, and regulatory risks. The analyst also contributes to the interpretation and implementation of new or evolving regulatory requirements, offering insights and recommending process improvements. Regular interaction with internal stakeholders, including compliance teams and internal auditors, is essential to investigate and resolve observations and ensure the integrity of reporting practices.
Licenses/Certifications: SIE required
(prior to start), provided that an exemption or grandfathering cannot be applied. Series 99 required,
or
ability to obtain within 120 days
(as required by FINRA). Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination. Responsibilities :
Responsible for the production, validation and submission of non-financial regulatory reports (e.g., Consolidated Audit Trail (CAT) Electronic Blue Sheets (EBS), Large Options Position Report (LOPR), etc.) Collaborates with other business units (Brokerage Operations, Trading, Compliance, IT, and Legal) Assists and provides input in the interpretation of new/changing securities rules, regulations, policies or laws; updates processes for compliance to rules and regulations as well as departmental procedures Compiles operational information for internal and external auditors (e.g. FINRA, SEC) with limited oversight Plans and executes remediation efforts for any identified issues with minimal guidance/support from Supervisor/Manager; assists the Manager or Senior Analyst in formalizing milestones needed in order to implement corrective action plans for any identified issues Assists Manager or Senior Analyst in the design, planning, and execution of testing strategies; under direct supervision, may lead the testing efforts of other analysts; communicate any issues to management that require immediate attention in a clear and concise manor; draft recommendations to mitigate risk Participates on projects Performs other duties and responsibilities as assigned Knowledge of :
Non-Financial Regulatory reporting requirements Financial market impacts Regulatory terminology, concepts, and guidance Back Office brokerage operations processes and procedures Trading life cycle (Orders, Executions, Allocations) FINRA, SEC and Exchange trading rules, regulations and laws Skill in:
Creating procedures and business process workflow documentation Evaluating processes/systems and identifying risks and controls; Recommending appropriate actions/revisions to resolve gaps or mitigate risk Microsoft Office (Excel, Access, PowerPoint) and other software applications Written and Verbal Communication Operating standard office equipment Ability to:
Proactively engage, collaborate and influence business partners in the adoption of identified opportunities to create or enhance a process Support efforts in the evaluation or implementation of an existing or new process Interpret financial/brokerage rules, regulations and security laws; ensure all industry rules, regulations, and the practice follows security laws that apply to a process Manage multiple tasks with potential interruptions and changing priorities Quickly understands complex subject matters Demonstrate critical thinking in a constantly changing environment
Education High School (HS) (Required)
Work Experience General Experience - 7 to 12 months
Certifications OS - Operations Professional - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)
Travel Less than 25%
Workstyle Hybrid
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. #LI-CA1