Sr. Regulatory Operations Analyst | Nonfinancial Regulatory Reporting

Raymond James•Memphis, TN

2d•Hybrid

About The Position

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, at one of the following corporate home-office locations: St. Petersburg, FL; Memphis, TN; or Southfield, MI. The Senior 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. 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.

Requirements

SIE required (prior to start), provided that an exemption or grandfathering cannot be applied.
Series 99 required (prior to start). 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.
Works without supervision and provides technical guidance when required on analyzing data trends for use in reports to help guide decision-making.
Works without supervision and provides technical guidance when required on developing appropriate plans or performing necessary actions based on recommendations and requirements.
Supports business processes without supervision by understanding and effectively using standard office equipment and standard software packages, while providing technical guidance as needed.
Works without supervision and provides technical guidance when required on planning, organizing, prioritizing, and overseeing activities to efficiently meet business objectives.
Works without supervision and provides technical guidance when required on developing, monitoring, interpreting, and understanding policies and procedures, while making sure they match organizational strategies and objectives.
Works without supervision and provides technical guidance when required on interpreting and applying knowledge of laws, regulations and policies in area of expertise.
Works without supervision and provides technical guidance when required on sequencing and scheduling tasks into a project plan.
Uses clear and effective verbal communication skills without supervision and provides technical guidance when required on expressing ideas, requesting actions and formulating plans or policies.
Applies understanding of the business environment and objectives to develop solutions without supervision, while also providing technical assistance when necessary.
Works without supervision and provides technical guidance when required on achieving full compliance with applicable rules and regulations in management and/or operations.
Conducts research and analyzes data without supervision while providing technical guidance as needed in order to develop a comprehensive understanding of customer and market conditions that enables maximum return on investments.
Works without supervision and provides technical guidance when required on how to professionally interpret and apply knowledge of laws and regulations.
Works without supervision while providing technical guidance when required on managing projects and/or programs within desired cost, time and quality parameters.
High School (HS) (Required)
General Experience - 3 to 6 years

Responsibilities

Take responsibility for managing and delivering a designated work program.
Collaborate internally and work as the customer champion in cross-functional teams to build a strong understanding of regulation and registration requirements.
Collate and analyze data using preset tools, methods, and formats. Involves working independently.
Resolve queries from internal or external customers or suppliers by providing information on complex processes and the related policies, referring issues to others where necessary for the interpretation of policy.
Organize and prepare complex documents using a variety of applications for technology devices, such as standard office software. Also responsible for gathering and summarizing data for special reports.
Develop own capabilities by participating in assessment and development planning activities as well as formal and informal training and coaching; gain or maintain external professional accreditation, where relevant, to improve performance and fulfill personal potential.
Maintain an understanding of relevant technology, external regulation, and industry best practices through ongoing education, attending conferences, and reading specialist media.
Investigate all kinds of incidents and reports and provide expert advice to more senior colleagues.
Minimize risk exposures and ensure adherence with regulatory standards by working with all internal functions to make sure compliance programs are properly implemented.
Create and maintain complex technical and/or user documentation to a high standard, and back up files to ensure instant recovery if problems occur.
Maintain and renew a deep knowledge and understanding of the organization's policies and procedures and of relevant regulatory codes and codes of conduct, and ensure own work adheres to required standards. Or identify, within the team, patterns of noncompliance with the organization's policies and procedures and with relevant regulatory codes and codes of conduct, taking appropriate action to report and resolve these and escalating issues as appropriate.