Regulatory Operations Analyst | Financial Licensing Required

Regulatory Operations Analyst

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.

The Regulatory Operations 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.

The team is specifically seeking candidates with relevant experience in Trading or Compliance, as this background provides valuable context for understanding regulatory obligations and operational risk.

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.

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.

Responsibilities :

Skills :

Education : High School (HS) (Required)

Work Experience : General Experience - 7 to 12 months

Certifications : OS - Operations Professional - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Travel : Less than 25%

Workstyle : Hybrid

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.