Registered Regulatory Operations Analyst

Job Description Summary

Job Description

This position will follow our hybrid work model; we expect the selected candidate to work 2-3 days a week at one of our corporate offices in Saint Petersburg, FL, Memphis, TN, or Southfield, MI.

Essential Duties and Responsibilities

• Monitors daily securities possession or control requirements to ensure compliance with the Customer Protection Rule (15c3-3); proactively communicates deficits and any identified issues to the LOBs in order to reduce firm deficits
• Compiles and reviews regulatory reporting information used for Daily Reserve (Daily as of June 30, 2026) and Monthly FOCUS reporting; ensures that reporting information is compliant with applicable industry regulations (e.g., 15c3-3, 15c3-1)
• Monitors operational suspense and clearance accounts, inventory, and dealer accounts to ensure compliance with firm accounting policies/industry regulations; escalates identified issues to the Supervisor/Manager and the relevant line of business
• Assists and provides input in the interpretation of new/changing securities rules, regulations, policies, or laws; updates processes for compliance with rules and regulations as well as departmental procedures
• Compiles operational account information for internal and external auditors (e.g., FINRA, SEC) with limited oversight
• Plans and executes remediation efforts for any identified issues with minimal guidance/support from Supervisor/Manager; assists the Manager or Senior Analyst in formalizing milestones needed in order to implement corrective action plans for any identified issues
• Identifies opportunities for operational efficiency and productivity improvements to mitigate financial, reputation, and regulatory risk; suggests solutions to the Supervisor/Manager
• Assists Manager or Senior Analyst in the design, planning, and execution of testing strategies; under direct supervision, may lead the testing efforts of other analysts; communicates any issues to management that require immediate attention in a clear and concise manner; drafts recommendations to mitigate risk
• Assists in the development and coordination of periodic operational performance reports/scorecards for Management, including trend analysis and recommended strategies
• Participates in projects
• Performs other duties and responsibilities as assigned

Knowledge of

• Brokerage operations and how functions performed by Operations Control align with business partners
• Financial industry rules, regulations, and laws relating to processes performed by Operations Control
• Regulatory terminology, concepts, and guidance
• Brokerage industry and financial markets
• Accounting principles/concepts
• Concepts, practices, and procedures for testing operational systems/processes

Skill in

• Conducting quality control reviews for functions performed within Operations
• Creating procedure and business process workflow documentation
• Evaluating processes/systems and identifying risks and controls; recommending appropriate actions/revisions to resolve any identified gaps or mitigate risk
• Executing training materials/programs
• Executing test strategies, methodologies, and analysis
• Operating standard office equipment and using required Microsoft Office (Excel, Access, PowerPoint) and other software applications

Ability to

• Proactively engage, collaborate, and influence business partners in the adoption of identified opportunities to create or enhance a control or process
• Support efforts in the evaluation or implementation of a control or process
• With minimal guidance, interpret financial/brokerage rules, regulations, and security laws; ensure all industry rules, regulations, and security laws that apply to a process are correctly followed
• Manage multiple tasks with changing priorities; meet deadlines in a fast-paced environment with constant interruptions; adapt to a constantly changing environment.
• Provide a high level of customer service

Licenses/Certifications

• SIE required provided that an exemption or grandfathering cannot be applied.
• Series 99 or equivalent required prior to starting.

Travel Required: 

• Yes, 10 % of the Time

Education

Bachelor’s, High School (HS) (Required)

Work Experience

General Experience - 7 to 12 months

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.