CAT/CAIS Reporting Analyst –Remote Flexibility for Qualified CandidatesRaymond James • New York, New York, United States
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CAT/CAIS Reporting Analyst –Remote Flexibility for Qualified Candidates
Raymond James
- New York, New York, United States
- New York, New York, United States
Über
CAT/CAIS Reporting Analyst – Remote Flexibility for Qualified Candidates
role at
Raymond James .
Please note:
This role is not eligible for Work Visa sponsorship, either currently or in the future.
Job Description Summary 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
Responsible for the 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.)
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 any identified issues with minimal guidance/support from Supervisor/Manager; assist the Manager or Senior Analyst in formalizing milestones needed to implement corrective action plans for any identified issues
Assist Manager or Senior Analyst in the design, planning, and execution of testing strategies; under direct supervision, may lead the testing efforts of other analysts; communicate any issues to management that require immediate attention in a clear and concise manner; draft recommendations to mitigate risk
Participate on projects
Perform other duties and responsibilities 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
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 practices follow security laws that apply to a process
Manage multiple tasks with potential interruptions and changing priorities
Quickly understand complex subject matters
Demonstrate critical thinking in a constantly changing environment
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.
Education High School (HS) (Required)
Work Experience General Experience – 7 to 12 months
Certifications OS – Operations 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
Core Values 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
EEO Statement The Company is an equal‑opportunity employer and makes all employment decisions on the basis of merit and business needs.
Company Culture 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.
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Sprachkenntnisse
- English
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