Raymond James
CAT/CAIS Reporting Analyst –Remote Flexibility for Qualified Candidates
Raymond James, Jackson, Mississippi, United States
CAT/CAIS Reporting Analyst –Remote Flexibility for Qualified Candidates
Raymond James
Work Visa Sponsorship This role is not eligible for work visa sponsorship, either currently or in the future.
Job Description 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 three per week, averaging 12 days per month in one of the following corporate home office locations: Memphis, TN or Southfield, MI. The Regulatory Operations Analyst (CAT/CAIS Reporting Analyst) plays a key role in supporting the firm’s compliance with non‑financial regulatory reporting requirements. Leveraging advanced knowledge and experience, this role is responsible for monitoring the possession and control of client assets, preparing and validating regulatory reports, and ensuring adherence to applicable industry rules and firm policies. This position collaborates closely with management to identify and mitigate financial, reputational, and regulatory risks. The analyst also contributes to the interpretation and implementation of new or evolving regulatory requirements, offering insights and recommending process improvements. Regular interaction with internal stakeholders, including compliance teams and internal auditors, is essential to investigate and resolve observations and ensure the integrity of reporting practices.
Responsibilities
Production, validation and submission of non‑financial regulatory reports (e.g., Consolidated Audit Trail (CAT) Electronic Blue Sheets (EBS), Large Options Position Report (LOPR), etc.)
Collaboration with other business units (Brokerage Operations, Trading, Compliance, IT, and Legal)
Assistance and input in the interpretation of new or changing securities rules, regulations, policies or laws; updating processes for compliance to rules and regulations as well as departmental procedures
Compilation of operational information for internal and external auditors (e.g., FINRA, SEC) with limited oversight
Planning and execution of remediation efforts for any identified issues with minimal guidance/support from supervisor/manager; assistance in formalizing milestones needed to implement corrective action plans for any identified issues
Assisting manager or senior analyst in the design, planning, and execution of testing strategies; under direct supervision, may lead the testing efforts of other analysts; communicating any issues to management that require immediate attention in a clear and concise manner; drafting recommendations to mitigate risk
Participation in projects
Performing 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 of
Non‑Financial Regulatory reporting requirements
Financial market impacts
Regulatory terminology, concepts, and guidanceBack 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
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 in the adoption of identified opportunities to create or enhance a process
Support efforts in the evaluation or implementation of an existing or new process
Interpret financial/brokerage rules, regulations and security laws; ensure all industry rules, regulations, and the practice follows security laws that apply to a process
Manage multiple tasks with potential interruptions and changing priorities
Quickly understands complex subject matters
Demonstrate critical thinking in a constantly changing environment
Education High School (HS) (Required)
Work Experience General Experience – 7 to 12 months
Travel Less than 25%
Workstyle Remote
Seniority Level Entry level
Employment Type Full-time
Job Function Research, Analyst, and Information Technology
Expectations
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.
#J-18808-Ljbffr
Work Visa Sponsorship This role is not eligible for work visa sponsorship, either currently or in the future.
Job Description 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 three per week, averaging 12 days per month in one of the following corporate home office locations: Memphis, TN or Southfield, MI. The Regulatory Operations Analyst (CAT/CAIS Reporting Analyst) plays a key role in supporting the firm’s compliance with non‑financial regulatory reporting requirements. Leveraging advanced knowledge and experience, this role is responsible for monitoring the possession and control of client assets, preparing and validating regulatory reports, and ensuring adherence to applicable industry rules and firm policies. This position collaborates closely with management to identify and mitigate financial, reputational, and regulatory risks. The analyst also contributes to the interpretation and implementation of new or evolving regulatory requirements, offering insights and recommending process improvements. Regular interaction with internal stakeholders, including compliance teams and internal auditors, is essential to investigate and resolve observations and ensure the integrity of reporting practices.
Responsibilities
Production, validation and submission of non‑financial regulatory reports (e.g., Consolidated Audit Trail (CAT) Electronic Blue Sheets (EBS), Large Options Position Report (LOPR), etc.)
Collaboration with other business units (Brokerage Operations, Trading, Compliance, IT, and Legal)
Assistance and input in the interpretation of new or changing securities rules, regulations, policies or laws; updating processes for compliance to rules and regulations as well as departmental procedures
Compilation of operational information for internal and external auditors (e.g., FINRA, SEC) with limited oversight
Planning and execution of remediation efforts for any identified issues with minimal guidance/support from supervisor/manager; assistance in formalizing milestones needed to implement corrective action plans for any identified issues
Assisting manager or senior analyst in the design, planning, and execution of testing strategies; under direct supervision, may lead the testing efforts of other analysts; communicating any issues to management that require immediate attention in a clear and concise manner; drafting recommendations to mitigate risk
Participation in projects
Performing 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 of
Non‑Financial Regulatory reporting requirements
Financial market impacts
Regulatory terminology, concepts, and guidanceBack 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
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 in the adoption of identified opportunities to create or enhance a process
Support efforts in the evaluation or implementation of an existing or new process
Interpret financial/brokerage rules, regulations and security laws; ensure all industry rules, regulations, and the practice follows security laws that apply to a process
Manage multiple tasks with potential interruptions and changing priorities
Quickly understands complex subject matters
Demonstrate critical thinking in a constantly changing environment
Education High School (HS) (Required)
Work Experience General Experience – 7 to 12 months
Travel Less than 25%
Workstyle Remote
Seniority Level Entry level
Employment Type Full-time
Job Function Research, Analyst, and Information Technology
Expectations
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.
#J-18808-Ljbffr