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Job Description Summary

Uses 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 to mitigate financial, reputational and regulatory risk. Assists and provides input in the interpretation of new and changing rules and/or regulations. Recommends solutions to problems. Contact with internal customers as well as internal auditors as required to research, identify and resolve observations.

Job Description

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: St. Petersburg, FL, Memphis, TN, or Southfield, MI.

_Please note: This role is not eligible for Work Visa sponsorship, either currently or in the future._

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.

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.

**Responsibilities** :

+ Assist with the development of internal communications and work collaboratively with colleagues to build strong understanding of regulation and registration requirements.

+ Investigate standard incidents using current regulatory and compliance processes, systems, and procedures, and take action to solve immediate compliance issues. Advise more senior colleagues on more complex problems.

+ Deliver preestablished outcomes and/or provide support services while operating within the organization's established regulatory and governance systems and protocols.

+ 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.

+ Create and maintain technical and/or user documentation to a high standard, and back up files to ensure instant recovery if problems occur.

+ Collate and analyze data using preset tools, methods, and formats. Involves working independently.

+ Identify, within the team, instances of noncompliance with the organization's policies and procedures and/or relevant regulatory codes and codes of conduct, reporting these instances and escalating issues as appropriate.

+ Develop own capabilities by participating in assessment and development planning activities as well as formal and informal training and coaching. Develop and maintain an understanding of relevant technology, external regulation, and industry best practices through ongoing education, attending conferences, and reading specialist media.

+ 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 interpretation of policy.

**Skills** :

+ 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 achieving full compliance with applicable rules and regulations in management and/or operations.

+ 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 analyzing data trends for use in reports to help guide decision making.

+ Uses an understanding of numerical concepts to perform mathematical operations such as report analysis without supervision and provides technical guidance when required.

+ Uses clear and effective verbal communications skills without supervision and provides technical guidance when required on expressing ideas, requesting actions and formulating plans or policies.

+ Works without supervision and provides technical guidance when required on how to professionally interpret and apply knowledge of laws and regulations.

+ Works without supervision and provides technical guidance when required on planning, organizing, prioritizing and overseeing activities to efficiently meet business objectives.

+ Works with guidance (but not constant supervision) to manage projects and/or programs within desired cost, time and quality parameters.

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.

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.

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