Regulatory Operations Analyst

Job Description Summary

Job Description

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

Join a collaborative and highly visible team responsible for ensuring the integrity and accuracy of critical regulatory reporting. In this role, you'll leverage your expertise in CAT, CAIS, and regulatory operations to help safeguard compliance with SEC and FINRA requirements while driving process improvements that strengthen risk controls and operational efficiency.

This hybrid-friendly position offers the flexibility of remote work combined with the benefits of in-person collaboration, requiring three days per week in our Southfield, MI office.

What You'll Do

As a Regulatory Operations Analyst, you will play a key role in managing and enhancing the firm's non-financial regulatory reporting program. You will partner with teams across Operations, Trading, Compliance, Technology, and Legal to ensure reporting accuracy, investigate issues, and support evolving regulatory requirements.

Key Responsibilities

• Produce, validate, reconcile, and submit regulatory reports, including:

  • Consolidated Audit Trail (CAT)

  • Customer Account Information System (CAIS)

  • Electronic Blue Sheets (EBS)

  • Large Options Position Reports (LOPR)

  • Other regulatory reporting obligations as assigned

• Monitor reporting quality and identify, research, and resolve exceptions and data discrepancies.

• Partner with Brokerage Operations, Trading, Compliance, Technology, and Legal teams to address reporting issues and improve data quality.

• Evaluate new and changing regulatory requirements and support implementation efforts across impacted business areas.

• Participate in regulatory examinations, audits, and inquiries from FINRA, SEC, and other regulatory bodies.

• Conduct root-cause analysis and lead remediation efforts for identified reporting issues.

• Support risk assessments, testing initiatives, and control enhancements to strengthen regulatory reporting processes.

• Document procedures, workflows, and controls while identifying opportunities for automation and operational efficiencies.

• Contribute to special projects and strategic initiatives supporting regulatory compliance and operational excellence.

What We're Looking For

Experience

• Hands-on experience with CAT and CAIS reporting in a broker-dealer or financial services environment.

• Experience supporting regulatory reporting, compliance operations, or brokerage operations.

• Strong understanding of securities markets, trading activity, and the trade lifecycle, including:

  • Orders

  • Executions

  • Allocations

• Knowledge of FINRA, SEC, and exchange regulatory requirements.

• Experience analyzing data, researching exceptions, and resolving reporting discrepancies.

• Ability to work independently while managing multiple priorities in a fast-paced regulatory environment.

• Experience supporting regulatory examinations and audits.

• Knowledge of Electronic Blue Sheets (EBS), Large Options Position Reports (LOPR), or similar reporting requirements.

• Experience with process improvement, controls testing, or risk management initiatives.

• Familiarity with operational workflows within brokerage or clearing environments.

Knowledge & Skills

Technical Knowledge

• Non-financial regulatory reporting requirements

• FINRA, SEC, and exchange regulations

• Brokerage operations and back-office processes

• Trading lifecycle and securities operations

• Regulatory risk management and controls

Core Skills

• Analytical problem-solving and critical thinking

• Root-cause analysis and issue remediation

• Process improvement and workflow design

• Regulatory interpretation and implementation

• Strong written and verbal communication

• Advanced Microsoft Excel and reporting tools

• Cross-functional partnership and stakeholder management

Licenses & Certifications

• Securities Industry Essentials (SIE) required prior to start unless exempt or grandfathered.

• Series 99 required prior to start.

  • Candidates holding qualifying securities registrations (including Series 6, 7, 17, 37, 38, and certain principal-level registrations) may satisfy this requirement without additional 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

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave.  Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

 

 

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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