Regulatory Reporting Analyst

Raymond James

  • Saint Petersburg, FL
  • Permanent
  • Full-time
  • 1 month ago
Job Summary:Under general supervision, uses specialized knowledge and skills obtained through education and experience to perform various regulatory reporting duties including: reporting filing, journal entries, and financial analysis. Evaluation, originality and ingenuity are required to locate, select, apply and justify appropriate action for situations and circumstances that require a deviation from standard procedures. Resolves moderately complex problems. Regular contact with senior management and other internal customers is required to identify, research, and resolve regulatory reporting issues.Essential Duties and Responsibilities:
  • 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.
QualificationsKnowledge, Skills, and Abilities:Knowledge of:
  • 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.)
Skill in:
  • 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.
Ability to:
  • 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.
Educational/Previous Experience Requirements:
  • 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
~or~
  • A minimum of five (5) years accounting experience in the financial services industry.
~or~
  • A minimum of three (3) years public accounting experience in the financial services industry
~or~
  • Any equivalent combination of experience, education and/or training approved by Human Resources.
Licenses/Certifications:
  • 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

Raymond James