Full-Time

Regulatory Data & Reporting Analyst

Ccar

Posted on 1/15/2025

Raymond James Financial

Raymond James Financial

Junior, Mid

Cleveland, OH, USA

Category
Risk & Compliance
Legal & Compliance
Required Skills
Risk Management
Customer Service
Data Analysis

You match the following Raymond James Financial's candidate preferences

Employers are more likely to interview you if you match these preferences:

Degree
Experience
Requirements
  • Works without supervision and provides technical guidance when required on analyzing data trends for use in reports to help guide decision making.
  • Works without supervision and provides technical guidance when required on developing appropriate plans or performing necessary actions based on recommendations and requirements.
  • 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 planning, organizing, prioritizing and overseeing activities to efficiently meet business objectives.
  • Works without supervision and provides technical guidance when required on developing, monitoring, interpreting and understanding policies and procedures, while making sure they match organizational strategies and objectives.
  • 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 sequencing and scheduling tasks into a project plan.
  • 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.
  • Applies understanding of the business environment and objectives to develop solutions without supervision, while also providing technical assistance when necessary.
  • Works without supervision and provides technical guidance when required on achieving full compliance with applicable rules and regulations in management and/or operations.
  • Conducts research and analyzes data without supervision while providing technical guidance as needed in order to develop a comprehensive understanding of customer and market conditions that enables maximum return on investments.
  • Works without supervision and provides technical guidance when required on how to professionally interpret and apply knowledge of laws and regulations.
  • Works without supervision while providing technical guidance when required on managing projects and/or programs within desired cost, time and quality parameters.
Responsibilities
  • Take responsibility for managing and delivering a designated work program.
  • Collaborate internally and work as the customer champion in cross-functional teams to build strong understanding of regulation and registration requirements.
  • Collate and analyze data using preset tools, methods, and formats. Involves working independently.
  • 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.
  • 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.
  • Develop own capabilities by participating in assessment and development planning activities as well as formal and informal training and coaching; gain or maintain external professional accreditation, where relevant, to improve performance and fulfill personal potential. Maintain an understanding of relevant technology, external regulation, and industry best practices through ongoing education, attending conferences, and reading specialist media.
  • Investigate all kinds of incidents and reports and provide expert advice to more senior colleagues. Minimize risk exposures and ensure adherence with regulatory standards by working with all internal functions to make sure compliance programs are properly implemented.
  • Create and maintain complex technical and/or user documentation to a high standard, and back up files to ensure instant recovery if problems occur.
  • Maintain and renew a deep knowledge and understanding of the organization's policies and procedures and of relevant regulatory codes and codes of conduct, and ensure own work adheres to required standards. Or identify, within the team, patterns of noncompliance with the organization's policies and procedures and with relevant regulatory codes and codes of conduct, taking appropriate action to report and resolve these and escalating issues as appropriate.
Raymond James Financial

Raymond James Financial

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Company Size

N/A

Company Stage

IPO

Total Funding

N/A

Headquarters

Saint Petersburg, Florida

Founded

1962

Simplify Jobs

Simplify's Take

What believers are saying

  • Raymond James benefits from the trend of breakaway brokers joining independent firms.
  • The firm's focus on personalized financial advice aligns with increasing client demand.
  • Raymond James' involvement in sustainable projects aligns with ESG investment trends.

What critics are saying

  • CEO transition in February 2025 may lead to strategic instability.
  • Departure of advisors like Gerald McCready suggests potential retention issues.
  • Involvement in large public offerings exposes Raymond James to market volatility.

What makes Raymond James Financial unique

  • Raymond James attracts breakaway brokers, enhancing its advisory channel.
  • The firm invests in low-income housing projects, showcasing community commitment.
  • Raymond James expands European investment banking with strategic hires like ChanChan Wang.

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Benefits

Hybrid Work Options

Professional Development Budget

INACTIVE