Raymond James Financial, Inc

Senior Analyst, Broker Dealer Regulatory Reporting

Raymond James Financial, Inc • $80K — $95K *
Saint Petersburg, FL 33710In-Person
Finance & Insurance
Less than 5 years of experience
Today
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Job Overview by Ladders

Qualifications

  • Bachelor's degree in Accounting, Business Administration, or Finance
  • 3 to 6 years of relevant experience in regulatory reporting
  • Proficiency in MS Excel with skills in vlookups, pivot tables, and macros
  • Knowledge of SEC Rule 15c3-3 and 15c3-1
  • Experience with financial analysis and accounting practices
  • Familiarity with brokerage and dealer operations

Responsibilities

  • Prepare customer reserve calculations according to SEC regulations
  • Create senior management reports on reserve variance drivers
  • Review and ensure accuracy of regulatory reporting inputs
  • Assist in regulatory report filing and month-end reporting
  • Develop procedures for reserve calculation preparation
  • Support technology and process improvements in regulatory reporting
  • Collaborate with various departments on data-related queries

Benefits

  • Medical, dental, and vision insurance
  • Life, critical illness, and accident insurance
  • Disability benefits
  • Retirement savings plan
  • Paid time off including vacation, holidays, and sick leave
  • Parental leave
  • Hybrid workstyle options
Full Job Description
Job Description Summary
Under general supervision, uses knowledge and skills obtained through education, training, and experience to support broker/dealer regulatory reporting activities. The primary responsibility of this role is to prepare and support the customer reserve calculation in accordance with SEC Rule 15c3-3, including gathering source data, analyzing calculation inputs, documenting results, and escalating questions or exceptions as appropriate. The role may also assist with journal entries, financial analysis, FOCUS report preparation under SEC Rule 15c3-1, and other various SEC and FINRA regulatory filings.

Job Description

Essential Duties and Responsibilities
  • Prepare and support the customer reserve calculation in accordance with SEC Rule 15c3-3, including compiling inputs, performing reconciliations, analyzing results, and documenting support.
  • Prepare monthly and quarterly senior management reporting on drivers and variances of the reserve formula
  • Assist with the review of calculation inputs, variances, exception items, and supporting schedules to help ensure accurate and timely regulatory reporting.
  • Assist with regulatory report filings, journal entries, and month-end regulatory reporting post-closing activities.
  • Assist in the development of procedures and flowcharts covering the preparation of the reserve calculation.
  • Support process improvements, technology initiatives, and control enhancements related to customer reserve and other regulatory reporting processes.
  • Work with IT, Operations, Finance, and other departments to research and resolve data, system, and process questions impacting regulatory reporting.
  • Assist with external audits, internal audits, and regulatory examinations by preparing support and responding to information requests.
  • Perform other duties and responsibilities as assigned.


Knowledge of
  • Accounting concepts, practices and procedures, including reconciliations and financial analysis.
  • Financial products.
  • Broker/dealer regulatory rules, with emphasis on SEC Rule 15c3-3 customer reserve requirements and general exposure to SEC Rule 15c3-1.
  • Internal controls and documentation standards as they relate to regulatory reporting processes.
  • Broker/Dealer Operations
  • SIS, IMPACT, PeopleSoft, Axiom/Adenza, and other systems used in regulatory reporting processes.
  • MS Excel - (vlookups, pivot tables, macros, etc.)


Skill in
  • Managing multiple recurring tasks, deadlines, and priorities.
  • Analyzing financial information.
  • Supporting technology-related projects and process enhancements.
  • Operating standard office equipment and using required software applications, including word processing, spreadsheets and data bases.
  • Researching broker/dealer regulatory reporting questions with guidance from more experienced team members.


Ability to
  • Participate in meetings and contribute relevant information to support team outcomes.
  • Follow established procedures and identify questions, exceptions, or improvement opportunities for escalation.
  • Work independently on routine assignments and exercise sound judgment when escalating non-routine matters.
  • Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.
  • Communicate status, questions, and potential issues clearly to team members and management.
  • Explain or clarify financial and regulatory reporting information to internal stakeholders.
  • Learn new processes, systems, and regulatory concepts and apply feedback to improve work product.
  • Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.
  • Provide a high level of customer service.


Education
Bachelor's: Accounting, Bachelor's: Business Administration, Bachelor's: Finance

Work Experience
General Experience - 3 to 6 years

Certifications

Travel
Less than 25%

Workstyle
Hybrid

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

About Raymond James Financial, Inc

The Raymond James Technology and Communications Investment Banking Group is a committed and thoughtful partner that provides a full range of investment banking services and best practices. The group is comprised of experienced professionals that have extensive investment banking expertise. They leverage the industry expertise of Raymond James' award-winning research department. The group focuses on key sectors within technology and communications including: communications software, communication towers, defense electronics, enterprise software, internet infrastructure services, homeland security, IT services, mobile technology, semiconductors, software-as-a-service, telecommunications equipment, telecommunications infrastructure and support services, and wireless & wireline telecommunications services. They take pride in a client-centric approach to M&A, with focus on delivering independent solutions that creates value for the long term. The outcome of this unique approach may be seen in the successful transactions of their clients, including over 80 public offerings totaling $17 billion and over 85 strategic advisory transactions totaling over $5 billion in value since 1998.

Raymond James Financial, Inc Careers

Join the vibrant team at Raymond James Financial, Inc, a leading financial services company where innovation, leadership, and professional growth are at the forefront of our operations. As a hub of diversity and expertise, Raymond James offers unparalleled job opportunities that propel your career to new heights. Work You’ll Do At Raymond James Financial, Inc, you’ll collaborate with some of the most talented professionals in the financial industry. Our team is dedicated to providing strategic financial solutions and advice to our clients, helping them achieve their financial goals while fostering economic growth. With a culture rooted in leadership and diversity training, Raymond James is the perfect place to enhance your skills and thrive professionally. Join our market-leading team to assist a diverse range of clients, from individuals to large corporations, in navigating their financial planning with precision and innovative strategies. Lead in a role where your expertise directly influences the success and stability of our clients' financial futures. Work with a dynamic team of advisors and experts who are committed to pushing the boundaries of the financial sector through continuous innovation and exceptional client service. Raymond James Financial, Inc Job Opportunities Introducing the Raymond James Career Development Program We are committed to nurturing talent through our comprehensive career development program designed to provide every employee—from interns to senior leaders—with the tools and training necessary for success. Whether you’re just starting out with an internship or you’re a seasoned professional, Raymond James offers career paths that align with your ambitions and skills. Do Innovative Work Join a company where innovation is part of the daily routine. At Raymond James Financial, Inc, you’ll engage with cutting-edge financial tools and resources that keep you ahead in the industry. Our commitment to technology and innovation ensures that we stay at the forefront of financial services. Be Part of a Great Team Experience a collaborative environment where teamwork and networking are encouraged. Our inclusive culture supports diversity and offers benefits that ensure the well-being of all team members. At Raymond James, you’re not just an employee; you’re part of a family that values your unique contributions and supports your professional journey. Future-Proof Your Career Advance your career with Raymond James, where opportunities for growth are abundant. Benefit from our industry-leading training programs and gain certifications that will elevate your professional standing. With a focus on career longevity and satisfaction, Raymond James ensures that your professional journey is as rewarding as it is successful. Explore Discover the various positions available at Raymond James Financial, Inc that match your skills and interests. We are continuously hiring across multiple disciplines, eager to welcome passionate, curious, and solution-driven team players. Stay Connected Join Our Team Search open positions at Raymond James Financial, Inc and find the perfect match for your career aspirations. Explore a range of opportunities from financial advising to corporate roles that align with your professional skills and goals. Keep Up to Date Stay informed with the latest career tips, insider perspectives, and industry-leading insights—all from the professionals who thrive at Raymond James. Job Alert Emails Customize your subscription to receive job alerts, latest news, and insider tips tailored to your preferences. Discover the exciting and rewarding career opportunities waiting for you at Raymond James Financial, Inc. Join Raymond James Financial, Inc today and be part of a company that values innovation, leadership, and professional growth. Your future in the financial industry starts here.
Learn more about Raymond James Financial, Inc
Size
15,000 employees
Market Cap
$22.6 billion
Industry
Finance & Insurance
Net Income
$862 million
5 Year Trend
+11.6%
Revenue
$8.3 billion
NASDAQ
RJF
* Ladders Estimates

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