Senior Analyst, Broker Dealer Regulatory Reporting

Raymond James•Saint Petersburg, FL

4d•Hybrid

About The Position

Under general supervision, this role supports broker/dealer regulatory reporting activities. The primary responsibility is to prepare and support the customer reserve calculation in accordance with SEC Rule 15c3-3, which involves gathering data, analyzing inputs, documenting results, and escalating issues. The role may also contribute to journal entries, financial analysis, FOCUS report preparation (SEC Rule 15c3-1), and other SEC and FINRA regulatory filings.

Requirements

Knowledge of Accounting concepts, practices and procedures, including reconciliations and financial analysis.
Knowledge of Financial products.
Knowledge of Broker/dealer regulatory rules, with emphasis on SEC Rule 15c3-3 customer reserve requirements and general exposure to SEC Rule 15c3-1.
Knowledge of Internal controls and documentation standards as they relate to regulatory reporting processes.
Knowledge of Broker/Dealer Operations.
Proficiency in SIS, IMPACT, PeopleSoft, Axiom/Adenza, and other systems used in regulatory reporting processes.
Proficiency in MS Excel - (vlookups, pivot tables, macros, etc.).
Ability to manage multiple recurring tasks, deadlines, and priorities.
Ability to analyze financial information.
Ability to support technology-related projects and process enhancements.
Ability to operate standard office equipment and use required software applications, including word processing, spreadsheets and data bases.
Ability to research broker/dealer regulatory reporting questions with guidance from more experienced team members.
Ability to participate in meetings and contribute relevant information to support team outcomes.
Ability to follow established procedures and identify questions, exceptions, or improvement opportunities for escalation.
Ability to work independently on routine assignments and exercise sound judgment when escalating non-routine matters.
Ability to use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.
Ability to communicate status, questions, and potential issues clearly to team members and management.
Ability to explain or clarify financial and regulatory reporting information to internal stakeholders.
Ability to learn new processes, systems, and regulatory concepts and apply feedback to improve work product.
Ability to organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.
Ability to provide a high level of customer service.
Bachelor’s degree in Accounting, Business Administration, or Finance.
3 to 6 years of General Experience.

Responsibilities

Prepare and support the customer reserve calculation in accordance with SEC Rule 15c3-3, including compiling inputs, performing reconciliations, analyzing results, and documenting support.
Prepare monthly and quarterly senior management reporting on drivers and variances of the reserve formula.
Assist with the review of calculation inputs, variances, exception items, and supporting schedules to help ensure accurate and timely regulatory reporting.
Assist with regulatory report filings, journal entries, and month-end regulatory reporting post-closing activities.
Assist in the development of procedures and flowcharts covering the preparation of the reserve calculation.
Support process improvements, technology initiatives, and control enhancements related to customer reserve and other regulatory reporting processes.
Work with IT, Operations, Finance, and other departments to research and resolve data, system, and process questions impacting regulatory reporting.
Assist with external audits, internal audits, and regulatory examinations by preparing support and responding to information requests.
Perform other duties and responsibilities as assigned.