Raymond James Senior Operations Reporting Production Analyst in St. Petersburg, Florida

Job Summary:

Under minimal supervision, responsible for the compilation, preparation and timely submission of regulatory reports (e.g., TIC, LOPR, Short Interest, EBS, Insite, 13 F/G) which are submitted to various regulatory agencies (e.g., FINRA, SEC, Fed, OCC). Validates regulatory reports for completeness and accuracy prior to submission to ensure that all reporting requirements are met. Uses advanced knowledge and skills obtained through experience and/or training to monitor, research and analyze reporting variances, data quality issues, and reporting exceptions. Escalates material issues to management on a timely basis and assists the firm in maintaining proper compliance with industry/firm rules and regulations. Collaborates with other lines of business to identify opportunities for operational efficiency and productivity improvements to mitigate financial, reputational and regulatory risk. Assists in the interpretation of new and changing rules and/or regulations and in the creation of policy, procedure and control documentation. Resolves complex problems. Communicates with external/internal examiners to research, identify and resolve reporting issues. Develops and coordinates periodic operational performance reports/scorecards including trend analysis and recommended strategies. Leads and provides guidance/training to more junior staff.

Essential Duties and Responsibilities:

• Compiles, prepares and submits timely submissions of regulatory reports on behalf of the firm/broker-dealer to various regulatory agencies (e.g., FINRA, SEC, Fed, OCC)

• Validates and reviews regulatory reports for completeness and accuracy prior to submission to ensure that all reporting requirements are met

• Monitors, researches and analyzes reporting variances, data quality issues, and reporting exceptions

• Assists and provides input in the interpretation of new/changing regulatory reporting requirements, regulations, policies or laws; updates processes for compliance to rules and regulations as well as departmental procedures

• Leads efforts in researching and compiling operational account information for internal and external auditors (e.g. FINRA, SEC) with little to no guidance from supervisor/manager

• Plans and executes all aspects of remediation efforts for any identified issues with minimal guidance from manager; formalizes the milestones needed in order to implement corrective action plans for any identified issues; owns and drives the action plan for any opportunities/gaps identified

• Identifies opportunities for operational efficiency and productivity improvements to mitigate financial, reputation and regulatory risk; leads efforts to implement solutions

• Leads other analysts in the planning and execution of testing strategies; escalates any findings, issues and guidance to management; drafts recommendations and leads further discussions around guidance provided in a clear and concise manor

• Leads in the development and implementation of periodic operational performance reports/scorecards for management, including trend analysis and recommended strategies

• Leads project teams

• Reviews the work of junior staff members

• Performs other duties and responsibilities as assigned

Knowledge, Skills, and Abilities:

Knowledge of:

• Brokerage operations, financial markets, products and services, industry rules, regulations and regulatory reporting

• Regulatory terminology, concepts, and guidance

• Accounting principles/concepts

• Concepts, practices and procedures for testing operational systems/processes

Skill in:

• 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

• Developing and coordinating production of periodic operational risk performance reports/scorecards for management, including trend analysis and recommended strategies

• Designing and implementing training materials and programs

• Designing, developing and 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

• Lead project teams, drive consensus, and resolve conflict

• Interpret financial/brokerage rules, regulations and security laws

• 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

Educational/Previous Experience Requirements:

• Bachelor’s Degree (B.A.) in related field and a minimum of 6 to 8 years’ experience in the areas of accounting, banking and/or financial services

or

• Any equivalent combination of experience, education, and/or training approved by Human Resources

Licenses/Certifications:

• Series 99 or ability to obtain within 120 days (as required by FINRA), required

• Series 7 preferred

Job: *Operations

Organization: *Operations & Administration

Title: Senior Operations Reporting Production Analyst

Location: FL-St. Petersburg-Saint Petersburg

Requisition ID: 1702530