Raymond James
CAT/CAIS Reporting Analyst –Remote Flexibility for Qualified Candidates
Raymond James, Topeka, Kansas, United States
CAT/CAIS Reporting Analyst – Remote Flexibility for Qualified Candidates
Join Raymond James as a remote CAT/CAIS Reporting Analyst to support non‑financial regulatory reporting compliance and ensure accurate trade and account data submissions. This role offers a hybrid schedule with flexible remote options.
Job Overview The analyst monitors client asset control, produces and validates regulatory reports, and mitigates regulatory risk while collaborating with compliance, internal audit, and other business units.
Responsibilities
Produce, validate, and submit non‑financial regulatory reports (e.g., CAT EBS, LOPR).
Collaborate with Brokerage Operations, Trading, Compliance, IT, and Legal.
Interpret new or changing securities rules, update processes, and assist in compliance to regulations.
Compile operational information for internal and external auditors with limited oversight.
Plan and execute remediation efforts for identified issues with minimal guidance.
Design, plan, and execute testing strategies; lead testing efforts of other analysts under supervision.
Participate on projects and perform other duties as assigned.
Licenses and Certifications
SIE required prior to start; exemption or grandfathering not applicable.
Series 99 required or ability to obtain within 120 days; Series 6, 7, 17, 37, 38, or principal‑level registrations qualify without passing the examination.
Qualifications Education High School (HS) (Required)
Experience General Experience – 7 to 12 months
Knowledge Non‑financial regulatory reporting requirements, financial market impacts, regulatory terminology, back office brokerage operations processes, trading life cycle, FINRA, SEC, and exchange trading rules.
Skills Creating procedures and business process workflow documentation, evaluating processes/systems and identifying risks and controls, recommending appropriate actions/revisions, Microsoft Office (Excel, Access, PowerPoint), written and verbal communication, operating standard office equipment.
Abilities Proactive engagement, collaboration, and influence; support process evaluation or implementation; interpret financial/brokerage rules; manage multiple tasks; demonstrate critical thinking.
Workstyle Remote; Travel less than 25%.
The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
At Raymond James our associates use five guiding behaviors—Develop, Collaborate, Decide, Deliver, Improve—to deliver on the firm's core values.
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Job Overview The analyst monitors client asset control, produces and validates regulatory reports, and mitigates regulatory risk while collaborating with compliance, internal audit, and other business units.
Responsibilities
Produce, validate, and submit non‑financial regulatory reports (e.g., CAT EBS, LOPR).
Collaborate with Brokerage Operations, Trading, Compliance, IT, and Legal.
Interpret new or changing securities rules, update processes, and assist in compliance to regulations.
Compile operational information for internal and external auditors with limited oversight.
Plan and execute remediation efforts for identified issues with minimal guidance.
Design, plan, and execute testing strategies; lead testing efforts of other analysts under supervision.
Participate on projects and perform other duties as assigned.
Licenses and Certifications
SIE required prior to start; exemption or grandfathering not applicable.
Series 99 required or ability to obtain within 120 days; Series 6, 7, 17, 37, 38, or principal‑level registrations qualify without passing the examination.
Qualifications Education High School (HS) (Required)
Experience General Experience – 7 to 12 months
Knowledge Non‑financial regulatory reporting requirements, financial market impacts, regulatory terminology, back office brokerage operations processes, trading life cycle, FINRA, SEC, and exchange trading rules.
Skills Creating procedures and business process workflow documentation, evaluating processes/systems and identifying risks and controls, recommending appropriate actions/revisions, Microsoft Office (Excel, Access, PowerPoint), written and verbal communication, operating standard office equipment.
Abilities Proactive engagement, collaboration, and influence; support process evaluation or implementation; interpret financial/brokerage rules; manage multiple tasks; demonstrate critical thinking.
Workstyle Remote; Travel less than 25%.
The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
At Raymond James our associates use five guiding behaviors—Develop, Collaborate, Decide, Deliver, Improve—to deliver on the firm's core values.
#J-18808-Ljbffr