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RJRaymond James is a leading financial services firm focused on investment banking, asset management, and financial planning.
Employee count: 1001-5000
Job Description Summary
Job Description
Please note: This role is not eligible for Work Visa sponsorship, either currently or in the future.
We are seeking a detail-oriented professional with hands-on experience in regulatory reporting, specifically with CAT and CAIS, to support our compliance operations and ensure accurate trade and account data submissions.
A fully remote option may be considered for candidates with demonstrated expertise in CAT and CAIS reporting. Typically, 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 (CAT/CAIS Reporting 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.
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:
Knowledge of:
Education
High School (HS) (Required)Work Experience
General Experience - 7 to 12 monthsCertifications
OS - Operations Professional - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)Travel
Less than 25%Workstyle
RemoteAt 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.
Full Time
United States +/- 0 hoursLearn more about Raymond James and their company culture.
Raymond James is a diversified financial services company that provides an array of investment banking, asset management, and brokerage services. Established in 1962, it has grown to be a leading player in the financial industry, offering a full suite of financial services to individuals, corporations, and institutional clients. The firm is dedicated to helping clients achieve their financial goals through personalized service and a strong commitment to ethics.
With a strong emphasis on client relationships, Raymond James operates with a client-first philosophy, ensuring that their interests always come first. The company's advisors are equipped with the necessary resources and expertise to provide tailored solutions for wealth management, retirement planning, and investment strategies, aiming to secure financial futures for their clients.
RJ1001-5000 employees
1962
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