Raymond James
CAT/CAIS Reporting Analyst -Remote Flexibility for Qualified Candidates
Raymond James, Columbus, Ohio, United States, 43224
Overview
Please note: This role is not eligible for Work Visa sponsorship, either currently or in the future. We are seeking a detail-oriented professional with hands-on experience in regulatory reporting, specifically with
CAT
and
CAIS , to support our compliance operations and ensure accurate trade and account data submissions. A fully remote option may be considered for candidates with demonstrated expertise in CAT and CAIS reporting.
Typically, this position follows our hybrid-friendly schedule, so you get the best of both worlds - flexibility and collaboration. In office days will be 3 per week averaging 12 days per month in one of the following corporate home office locations: Memphis, TN or Southfield, MI. Responsibilities
Produce, validate and submit non-financial regulatory reports (e.g., Consolidated Audit Trail (CAT) Electronic Blue Sheets (EBS), Large Options Position Report (LOPR), etc.) Collaborate with other business units (Brokerage Operations, Trading, Compliance, IT, and Legal) Assist and provide input in the interpretation of new or changing securities rules, regulations, policies or laws; update processes for compliance to rules and regulations as well as departmental procedures Compile operational information for internal and external auditors (e.g., FINRA, SEC) with limited oversight Plan and execute remediation efforts for identified issues with minimal guidance; assist the Manager or Senior Analyst in formalizing milestones needed to implement corrective action plans Assist Manager or Senior Analyst in the design, planning, and execution of testing strategies; under direct supervision, may lead testing efforts of other analysts; communicate issues to management that require immediate attention; draft recommendations to mitigate risk Participate on projects Perform other duties and responsibilities as assigned Licenses/Certifications
SIE
required (prior to start), provided that an exemption or grandfathering cannot be applied. Series 99
required, or ability to obtain within 120 days (as required by FINRA). Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination. Knowledge
Non-Financial Regulatory reporting requirements Financial market impacts Regulatory terminology, concepts, and guidance Back Office brokerage operations processes and procedures Trading life cycle (Orders, Executions, Allocations) FINRA, SEC and Exchange trading rules, regulations and laws Skills
Creating procedures and business process workflow documentation Evaluating processes/systems and identifying risks and controls; recommending actions to resolve gaps or mitigate risk Microsoft Office (Excel, Access, PowerPoint) and other software applications Written and Verbal Communication Operating standard office equipment Abilities
Proactively engage, collaborate and influence business partners in the adoption of opportunities to improve a process Support efforts in evaluating or implementing an existing or new process Interpret financial/brokerage rules, regulations and security laws; ensure compliance with applicable rules and security laws Manage multiple tasks with potential interruptions and changing priorities Quickly understand complex subject matters Demonstrate critical thinking in a constantly changing environment
#J-18808-Ljbffr
Please note: This role is not eligible for Work Visa sponsorship, either currently or in the future. We are seeking a detail-oriented professional with hands-on experience in regulatory reporting, specifically with
CAT
and
CAIS , to support our compliance operations and ensure accurate trade and account data submissions. A fully remote option may be considered for candidates with demonstrated expertise in CAT and CAIS reporting.
Typically, this position follows our hybrid-friendly schedule, so you get the best of both worlds - flexibility and collaboration. In office days will be 3 per week averaging 12 days per month in one of the following corporate home office locations: Memphis, TN or Southfield, MI. Responsibilities
Produce, validate and submit non-financial regulatory reports (e.g., Consolidated Audit Trail (CAT) Electronic Blue Sheets (EBS), Large Options Position Report (LOPR), etc.) Collaborate with other business units (Brokerage Operations, Trading, Compliance, IT, and Legal) Assist and provide input in the interpretation of new or changing securities rules, regulations, policies or laws; update processes for compliance to rules and regulations as well as departmental procedures Compile operational information for internal and external auditors (e.g., FINRA, SEC) with limited oversight Plan and execute remediation efforts for identified issues with minimal guidance; assist the Manager or Senior Analyst in formalizing milestones needed to implement corrective action plans Assist Manager or Senior Analyst in the design, planning, and execution of testing strategies; under direct supervision, may lead testing efforts of other analysts; communicate issues to management that require immediate attention; draft recommendations to mitigate risk Participate on projects Perform other duties and responsibilities as assigned Licenses/Certifications
SIE
required (prior to start), provided that an exemption or grandfathering cannot be applied. Series 99
required, or ability to obtain within 120 days (as required by FINRA). Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination. Knowledge
Non-Financial Regulatory reporting requirements Financial market impacts Regulatory terminology, concepts, and guidance Back Office brokerage operations processes and procedures Trading life cycle (Orders, Executions, Allocations) FINRA, SEC and Exchange trading rules, regulations and laws Skills
Creating procedures and business process workflow documentation Evaluating processes/systems and identifying risks and controls; recommending actions to resolve gaps or mitigate risk Microsoft Office (Excel, Access, PowerPoint) and other software applications Written and Verbal Communication Operating standard office equipment Abilities
Proactively engage, collaborate and influence business partners in the adoption of opportunities to improve a process Support efforts in evaluating or implementing an existing or new process Interpret financial/brokerage rules, regulations and security laws; ensure compliance with applicable rules and security laws Manage multiple tasks with potential interruptions and changing priorities Quickly understand complex subject matters Demonstrate critical thinking in a constantly changing environment
#J-18808-Ljbffr