Regulatory Operations Analyst Position Available In Shelby, Tennessee

• Job Description
• 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: St. Petersburg, FL, Memphis, TN, or Southfield, MI.
• Responsibilities
• : + Assist with the development of internal communications and work collaboratively with colleagues to build strong understanding of regulation and registration requirements.

+ Investigate standard incidents using current regulatory and compliance processes, systems, and procedures, and take action to solve immediate compliance issues. Advise more senior colleagues on more complex problems. + Deliver preestablished outcomes and/or provide support services while operating within the organization’s established regulatory and governance systems and protocols. + Organize and prepare complex documents using a variety of applications for technology devices, such as standard office software. Also responsible for gathering and summarizing data for special reports. + Create and maintain technical and/or user documentation to a high standard, and back up files to ensure instant recovery if problems occur. + Collate and analyze data using preset tools, methods, and formats. Involves working independently. + Identify, within the team, instances of noncompliance with the organization’s policies and procedures and/or relevant regulatory codes and codes of conduct, reporting these instances and escalating issues as appropriate. + Develop own capabilities by participating in assessment and development planning activities as well as formal and informal training and coaching. Develop and maintain an understanding of relevant technology, external regulation, and industry best practices through ongoing education, attending conferences, and reading specialist media. + Resolve queries from internal or external customers or suppliers by providing information on complex processes and the related policies, referring issues to others where necessary for interpretation of policy.

• Skills
• : + Works without supervision and provides technical guidance when required on interpreting and applying knowledge of laws, regulations and policies in area of expertise.

+ Works without supervision and provides technical guidance when required on achieving full compliance with applicable rules and regulations in management and/or operations. + Supports business processes without supervision by understanding and effectively using standard office equipment and standard software packages, while providing technical guidance as needed. + Works without supervision and provides technical guidance when required on analyzing data trends for use in reports to help guide decision making. + Uses an understanding of numerical concepts to perform mathematical operations such as report analysis without supervision and provides technical guidance when required. + Uses clear and effective verbal communications skills without supervision and provides technical guidance when required on expressing ideas, requesting actions and formulating plans or policies. + Works without supervision and provides technical guidance when required on how to professionally interpret and apply knowledge of laws and regulations. + Works without supervision and provides technical guidance when required on planning, organizing, prioritizing and overseeing activities to efficiently meet business objectives. + Works with guidance (but not constant supervision) to manage projects and/or programs within desired cost, time and quality parameters.

• 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•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. #LI-CA1