Operations Consultant | Nonfinancial Regulatory Reporting

Job Description Summary

Manage financial transactions, prepare performance reports, handle complex finance administration projects, and reconcile accounts. Oversee the collection and disbursement of funds, process liens, and account for transactions on fixed assets.

Job Description

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.

Licenses/Certifications:

• 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.

Responsibilities
• Act as a business partner to important internal customers and manage relationships with them, while taking guidance from senior colleagues.
• Identify and evaluate complex, expertise-led solutions against a range of criteria to find the ones that best meet business needs.
• Execute a communications plan within established internal communication systems and procedures.
• Manage relationships with small clients while also helping senior colleagues manage relationships with larger key clients and customers.
• Write and edit material for various target populations, tailoring the tone and content to match the needs and expectations of each audience.

Skills
• Works at an advanced level to express ideas, request actions, formulate plans, & policies by means of clear and effective verbal communications. Typically works independently and provides guidance.
• Works at an advanced level to orient the organization around delivering to the key needs of clients. Typically works independently and provides guidance.
• Works at an advanced level to navigate customer conversations by leveraging the four parts of a service conversation: open, learn, reply, and close. Typically works independently and provides guidance.
• Works at an advanced level to deliver required services to clients to the required standards. Typically works independently and provides guidance.

Education

High School (HS) (Required)

Work Experience

General Experience - 3 to 6 years

Certifications

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.