Regulatory Reporting Analyst
Raymond James
- Saint Petersburg, FL
- Permanent
- Full-time
- Prepare and analyze regulatory reports and schedules
- Review, evaluate and implement process improvements, as appropriate.
- Assist in month end regulatory reporting post-closing process.
- Work with IT, Operations, and other departments on various firm-wide projects.
- Assist with the external audits, internal audits and regulatory examinations.
- Performs other duties and responsibilities as assigned.
- Broker/Dealer regulatory rules specifically SEC Rules 15c3-1 and 15c3-3.
- Controls and implementation of controls as they relate to regulatory reporting.
- Broker/Dealer Operations
- SIS, IMPACT and Peoplesoft/Computron systems
- MS Excel - (vlookups, pivot tables, macros, etc.)
- Multi-tasking on various projects
- Analyzing financial information.
- Working on IT/Technology related projects
- Operating standard office equipment and using required software applications, including word processing, spreadsheets and data bases.
- Lead meetings and contribute to team efforts by ensuring all relevant information is included in the outcomes.
- Implement changes to standard procedures when required by specific situations and circumstances.
- Work independently, make non-routine decisions and resolve moderately complex accounting problems.
- Communicate effectively, both orally and in writing, with all organizational levels.
- Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.
- Bachelor’s Degree (B.A.) in Accounting or Finance (Accounting preferred) and a minimum of four (4) years’ experience in preparing and analyzing financial information
- A minimum of five (5) years accounting experience in the financial services industry.
- A minimum of three (3) years public accounting experience in the financial services industry
- Any equivalent combination of experience, education and/or training approved by Human Resources.
- SIE required provided that an exemption or grandfathering cannot be applied.
- FINRA Series 7 or Series 99 or obtain within 12 months
- FINRA Series 27 or obtain within 12 months