Raymond James
CAT/CAIS Reporting Analyst –Remote Flexibility for Qualified Candidates
Raymond James, Indiana, Pennsylvania, us, 15705
CAT/CAIS Reporting Analyst –Remote Flexibility for Qualified Candidates
Raymond James is seeking a detail‑oriented Regulatory Operations Analyst specializing in CAT and CAIS reporting. The role is fully remote for qualified candidates and is located in either Memphis, TN or Southfield, MI, with 3 on‑site days per week. This position is not eligible for work‑visa sponsorship.
Job Description Summary This analyst supports the firm’s compliance with non‑financial regulatory reporting. Responsibilities include monitoring client assets, preparing and validating regulatory reports, and ensuring adherence to industry rules and firm policies. The role collaborates closely with compliance teams, internal auditors, and various business units to mitigate financial, reputational, and regulatory risks.
Qualifications
Experience in regulatory reporting with CAT and CAIS.
Strong knowledge of Non‑Financial Regulatory reporting requirements, financial market impacts, and regulatory terminology.
Proficient with Microsoft Office (Excel, Access, PowerPoint) and familiar with back‑office brokerage operations processes.
Excellent written and verbal communication skills.
Licenses / Certifications
SIE required prior to start.
Series 99 required, or ability to obtain within 120 days (FINRA). Candidates with certain other Series licenses may qualify for Series 99 registration without exam.
Responsibilities
Produce, validate and submit non‑financial regulatory reports (e.g., CAT, EBS, LOPR).
Collaborate with Brokerage Operations, Trading, Compliance, IT, and Legal.
Interpret and update processes for new or changing securities rules and regulations.
Compile operational information for internal and external auditors.
Plan and execute remediation efforts for identified issues.
Assist in design and execution of testing strategies; may lead testing efforts for other analysts.
Participate in projects and perform other duties as assigned.
Knowledge Of
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
Skill In
Creating procedures and business process workflow documentation
Evaluating processes/systems and identifying risks and controls
Recommending appropriate actions/revisions to resolve gaps or mitigate risk
Proficiency with Microsoft Office (Excel, Access, PowerPoint) and other software applications
Written and verbal communication
Operating standard office equipment
Ability To
Proactively engage, collaborate and influence business partners.
Support efforts in evaluation or implementation of new processes.
Interpret financial/brokerage rules, regulations and securities laws.
Manage multiple tasks with potential interruptions and changing priorities.
Understand complex subject matters quickly.
Demonstrate critical thinking in a constantly changing environment.
Education High School (HS) – required.
Work Experience General experience 7 to 12 months.
Certifications Operational Professional – FINRA; Securities Industry Essentials Exam (SIE) – FINRA.
Travel Less than 25%.
Workstyle Remote.
Seniority level Entry level.
Employment type Full‑time.
Job function Research, Analyst, and Information Technology.
We Expect Our Associates At All Levels To
Grow professionally and inspire others.
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.
Contribute to the continuous evolution of the firm.
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. 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.
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Job Description Summary This analyst supports the firm’s compliance with non‑financial regulatory reporting. Responsibilities include monitoring client assets, preparing and validating regulatory reports, and ensuring adherence to industry rules and firm policies. The role collaborates closely with compliance teams, internal auditors, and various business units to mitigate financial, reputational, and regulatory risks.
Qualifications
Experience in regulatory reporting with CAT and CAIS.
Strong knowledge of Non‑Financial Regulatory reporting requirements, financial market impacts, and regulatory terminology.
Proficient with Microsoft Office (Excel, Access, PowerPoint) and familiar with back‑office brokerage operations processes.
Excellent written and verbal communication skills.
Licenses / Certifications
SIE required prior to start.
Series 99 required, or ability to obtain within 120 days (FINRA). Candidates with certain other Series licenses may qualify for Series 99 registration without exam.
Responsibilities
Produce, validate and submit non‑financial regulatory reports (e.g., CAT, EBS, LOPR).
Collaborate with Brokerage Operations, Trading, Compliance, IT, and Legal.
Interpret and update processes for new or changing securities rules and regulations.
Compile operational information for internal and external auditors.
Plan and execute remediation efforts for identified issues.
Assist in design and execution of testing strategies; may lead testing efforts for other analysts.
Participate in projects and perform other duties as assigned.
Knowledge Of
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
Skill In
Creating procedures and business process workflow documentation
Evaluating processes/systems and identifying risks and controls
Recommending appropriate actions/revisions to resolve gaps or mitigate risk
Proficiency with Microsoft Office (Excel, Access, PowerPoint) and other software applications
Written and verbal communication
Operating standard office equipment
Ability To
Proactively engage, collaborate and influence business partners.
Support efforts in evaluation or implementation of new processes.
Interpret financial/brokerage rules, regulations and securities laws.
Manage multiple tasks with potential interruptions and changing priorities.
Understand complex subject matters quickly.
Demonstrate critical thinking in a constantly changing environment.
Education High School (HS) – required.
Work Experience General experience 7 to 12 months.
Certifications Operational Professional – FINRA; Securities Industry Essentials Exam (SIE) – FINRA.
Travel Less than 25%.
Workstyle Remote.
Seniority level Entry level.
Employment type Full‑time.
Job function Research, Analyst, and Information Technology.
We Expect Our Associates At All Levels To
Grow professionally and inspire others.
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.
Contribute to the continuous evolution of the firm.
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. 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.
#J-18808-Ljbffr