Senior Regulatory Reporting Analyst

Senior Regulatory Reporting Analyst-2401746

Description

Qualifications

Knowledge, Skills, and Abilities :

Knowledge of :

• Accounting concepts, practices and procedures.
• Financial products.
• Broker / Dealer regulatory rules specifically SEC Rules 15c3-1 and 15c3-3.
• Controls and implementation of controls as they relate to regulatory reporting.
• Broker / Dealer Operations
• SIS, IMPACT and Peoplesoft / Computron systems
• MS Excel - (vlookups, pivot tables, macros, etc.)

Skill in :

• Multi-tasking on various projects
• Analyzing financial information.
• Working on IT / Technology related projects
• Operating standard office equipment and using required software applications, including word processing, spreadsheets and data bases.
• Researching broker / dealer regulatory issues.

Ability to :

• Lead meetings and contribute to team efforts by ensuring all relevant information is included in the outcomes.
• Implement changes to standard procedures when required by specific situations and circumstances.
• Work independently, make non-routine decisions and solve complex accounting problems.
• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.
• Establish and communicate clear directions and priorities.
• Explain or clarify financial information to all levels of management.
• Provide training to others.
• 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.

Educational / Previous Experience Requirements :

Bachelor’s Degree (B.A.) in Accounting or Finance (Accounting preferred) and a minimum of five (5) years’ experience in preparing and analyzing financial information

A minimum of six (6) years accounting experience in the financial services industry.

• A minimum of four (4) years public accounting experience in the financial services industry
• Any equivalent combination of experience, education and / or training approved by Human Resources.

Licenses / Certifications :

• SIE required provided that an exemption or grandfathering cannot be applied.
• FINRA Series 7 or FINRA Series 99, or ability to obtain within 120 days (as required by FINRA), may be required depending on assigned functional area.
• FINRA Series 27or ability to obtain within 90 120 days

Raymond James Guiding BehaviorsAt 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 firmAt 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.

Accounting & Finance