Regulatory Operations Analyst

Raymond James•Southfield, MI

2d•Hybrid

About The Position

Join a collaborative and highly visible team responsible for ensuring the integrity and accuracy of critical Non-Financial Regulatory Reporting obligations. In this role, you'll leverage your expertise in regulatory operations to help support the firm’s compliance with SEC, FINRA, OCC, Federal Reserve, exchange and other regulatory reporting 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. As a Regulatory Operations Analyst, you will play a key role in managing and enhancing the firm's non-financial regulatory reporting program. The role partners with Operations, Trading, Compliance, Technology, Legal and Risk Management teams to investigate reporting issues, improve data quality, regulatory reporting controls and governance requirements.

Requirements

Hands-on experience with Non-Financial Regulatory 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, Settlements, Securities operations and reporting impacts
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.
Experience with one or more regulatory reporting obligations Consolidated Audit Trail (CAT), Electronic Blue Sheets (EBS), Large Options Position Reports (LOPR), Short Interest Reporting or similar reporting requirements.
Experience with process improvement, controls testing, or risk management initiatives.
Familiarity with operational workflows within brokerage or clearing environments.
Artificial Intelligence (AI) and AI – assisted reconciliation and exception investigation
Advanced Microsoft Excel (pivot tables, VLOOKUP, data validation and reconciliation)
Reporting and workflow management systems
User Acceptance Testing (UAT) support
Regulatory risk management and controls
Regulatory reporting validation and reconciliation
Understanding and application of regulatory requirements
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
Cross-functional partnership and stakeholder management
High School Diploma (required)
Securities Industry Essentials (SIE) required prior to start unless exempt or grandfathered.
Series 99 or ability to obtain within 120 days (as required by FINRA), required
General Experience - 7 to 12 months
OS - Operations Professional - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Nice To Haves

Bachelor’s Degree (B.A.) in related field (preferred)
2-years’ experience in financial services, brokerage operations, regulatory reporting, compliance, securities operations (preferred)
Candidates holding qualifying securities registrations (including Series 6, 7, 17, 37, 38, and certain principal-level registrations) may satisfy this requirement without additional examination.

Responsibilities

Produce, validate, reconcile, and submit Non-Financial Regulatory reports, including: Consolidated Audit Trail (CAT), Electronic Blue Sheets (EBS), Large Options Position Reports (LOPR), Short Interest Reporting, Treasury International Capital (TIC), SEC Schedule 13F, Other regulatory reporting obligations 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.