Raymond James
Job Summary
Under minimal supervision, uses intermediate knowledge and skills obtained through experience and/or training to monitor possession and control of client assets, complete regulatory reporting, and assist the firm in maintaining proper compliance with industry/firm rules and regulations. Collaborates with management to identify opportunities for operational efficiency and productivity improvements to mitigate financial, reputational and regulatory risk. Assists and provides input in the interpretation of new and changing rules and/or regulations. Works with management to update processes as well as updating departmental procedures with guidance from Supervisor/Manager. Recommends solutions to problems. Contacts internal customers as well as internal auditors as required to research, identify and resolve observations. Assists in the development and coordination of periodic operational performance reports/scorecards including trend analysis and recommended strategies with guidance from Supervisor/Manager. Location & Schedule
Hybrid schedule available for candidates in St Petersburg, FL; Memphis, TN; and Southfield MI. Responsibilities
Monitor daily securities possession or control requirements to ensure compliance with the Customer Protection Rule (15c3‑3); proactively communicate deficits and any identified issues to LOBs to reduce firm deficits. Compile and review regulatory reporting information used for Weekly Reserve and Monthly FOCUS reporting; ensure that reporting information is compliant with applicable industry regulations (e.g., 15c3‑3, 15c3‑1). Monitor operational suspense and clearance accounts, inventory, and dealer accounts to ensure compliance with firm accounting policies and industry regulations; elevate identified issues to Supervisor/Manager and the relevant line of business. Assist and provide input in the interpretation of new/changing securities rules, regulations, policies, or laws; update processes for compliance with rules and regulations as well as departmental procedures. Compile operational account information for internal and external auditors (e.g., FINRA, SEC) with limited oversight. Plan and execute remediation efforts for any identified issues with minimal guidance; assist the Manager or Senior Analyst in formalizing milestones for corrective action plans. Identify opportunities for operational efficiency and productivity improvements to mitigate financial, reputation and regulatory risk; suggest solutions to Supervisor/Manager. Assist Manager or Senior Analyst in the design, planning, and execution of testing strategies; may lead the testing efforts of other analysts under direct supervision; communicate any issues to management that require immediate attention in a clear and concise manner; draft recommendations to mitigate risk. Assist in the development and coordination of periodic operational performance reports/scorecards for Management, including trend analysis and recommended strategies. Perform daily and weekly quality review of reconciliation specialist’s work as needed to ensure reconciliations are accurate, complete and that discrepancies have been resolved in a timely manner. Coordinate/participate in the quarterly examination and verification of physical securities held on premises. Participate in projects and perform other duties and responsibilities as assigned. Qualifications
Bachelor’s Degree (B.A.) in a related field and minimum of two (2) years’ experience in accounting, banking, and/or financial services. SIE and Series 99 required. Knowledge of brokerage operations, financial industry rules and regulations, regulatory terminology, brokerage industry, financial markets, accounting principles, and testing operational systems/processes. Skill in conducting quality control reviews, creating procedure and workflow documentation, evaluating processes/systems and identifying risks and controls, executing training materials/programs, executing test strategies, methodologies and analysis, and operating office equipment with Microsoft Office 365. Ability to proactively engage, collaborate and influence business partners, support implementation of controls, interpret financial/brokerage rules and regulations with minimal guidance, manage multiple tasks with changing priorities, demonstrate strong numerical aptitude, and provide a high level of customer service. Benefits
Medical, Dental, Vision, 401K. Pay Range: $28.45 per hour – $37.93 per hour.
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Under minimal supervision, uses intermediate knowledge and skills obtained through experience and/or training to monitor possession and control of client assets, complete regulatory reporting, and assist the firm in maintaining proper compliance with industry/firm rules and regulations. Collaborates with management to identify opportunities for operational efficiency and productivity improvements to mitigate financial, reputational and regulatory risk. Assists and provides input in the interpretation of new and changing rules and/or regulations. Works with management to update processes as well as updating departmental procedures with guidance from Supervisor/Manager. Recommends solutions to problems. Contacts internal customers as well as internal auditors as required to research, identify and resolve observations. Assists in the development and coordination of periodic operational performance reports/scorecards including trend analysis and recommended strategies with guidance from Supervisor/Manager. Location & Schedule
Hybrid schedule available for candidates in St Petersburg, FL; Memphis, TN; and Southfield MI. Responsibilities
Monitor daily securities possession or control requirements to ensure compliance with the Customer Protection Rule (15c3‑3); proactively communicate deficits and any identified issues to LOBs to reduce firm deficits. Compile and review regulatory reporting information used for Weekly Reserve and Monthly FOCUS reporting; ensure that reporting information is compliant with applicable industry regulations (e.g., 15c3‑3, 15c3‑1). Monitor operational suspense and clearance accounts, inventory, and dealer accounts to ensure compliance with firm accounting policies and industry regulations; elevate identified issues to Supervisor/Manager and the relevant line of business. Assist and provide input in the interpretation of new/changing securities rules, regulations, policies, or laws; update processes for compliance with rules and regulations as well as departmental procedures. Compile operational account information for internal and external auditors (e.g., FINRA, SEC) with limited oversight. Plan and execute remediation efforts for any identified issues with minimal guidance; assist the Manager or Senior Analyst in formalizing milestones for corrective action plans. Identify opportunities for operational efficiency and productivity improvements to mitigate financial, reputation and regulatory risk; suggest solutions to Supervisor/Manager. Assist Manager or Senior Analyst in the design, planning, and execution of testing strategies; may lead the testing efforts of other analysts under direct supervision; communicate any issues to management that require immediate attention in a clear and concise manner; draft recommendations to mitigate risk. Assist in the development and coordination of periodic operational performance reports/scorecards for Management, including trend analysis and recommended strategies. Perform daily and weekly quality review of reconciliation specialist’s work as needed to ensure reconciliations are accurate, complete and that discrepancies have been resolved in a timely manner. Coordinate/participate in the quarterly examination and verification of physical securities held on premises. Participate in projects and perform other duties and responsibilities as assigned. Qualifications
Bachelor’s Degree (B.A.) in a related field and minimum of two (2) years’ experience in accounting, banking, and/or financial services. SIE and Series 99 required. Knowledge of brokerage operations, financial industry rules and regulations, regulatory terminology, brokerage industry, financial markets, accounting principles, and testing operational systems/processes. Skill in conducting quality control reviews, creating procedure and workflow documentation, evaluating processes/systems and identifying risks and controls, executing training materials/programs, executing test strategies, methodologies and analysis, and operating office equipment with Microsoft Office 365. Ability to proactively engage, collaborate and influence business partners, support implementation of controls, interpret financial/brokerage rules and regulations with minimal guidance, manage multiple tasks with changing priorities, demonstrate strong numerical aptitude, and provide a high level of customer service. Benefits
Medical, Dental, Vision, 401K. Pay Range: $28.45 per hour – $37.93 per hour.
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