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RA
Raymond James

Senior Analyst, Broker Dealer Regulatory Reporting

Work modehybrid
SenioritySenior
Experience3–6 yrs
EquityIncluded
Company size10,000+ people
PostedAug 21, 2026 · 1mo ago
Verified live14h ago
At a glanceSummarised by Seekless from the posting.
Bachelor's degree in Accounting, Business Administration, or Finance
3 to 6 years of general experience
Knowledge of accounting concepts, practices and procedures, including reconciliations and financial analysis
Knowledge of financial products
Knowledge of broker/dealer regulatory rules, with emphasis on SEC Rule 15c3-3 customer reserve requirements and general exposure to SEC Rule 15c3-1
Knowledge of internal controls and documentation standards as they relate to regulatory reporting processes
Knowledge of Broker/Dealer Operations
Knowledge of SIS, IMPACT, PeopleSoft, Axiom/Adenza, and other systems used in regulatory reporting processes
Knowledge of MS Excel (vlookups, pivot tables, macros, etc.)
Skill in managing multiple recurring tasks, deadlines, and priorities
Skill in analyzing financial information
Skill in supporting technology-related projects and process enhancements
Skill in operating standard office equipment and using required software applications
Skill in researching broker/dealer regulatory reporting questions with guidance from more experienced team members
Ability to participate in meetings and contribute relevant information
Ability to follow established procedures and identify questions, exceptions, or improvement opportunities for escalation
Ability to work independently on routine assignments and exercise sound judgment when escalating non-routine matters
Ability to use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing
Ability to communicate status, questions, and potential issues clearly to team members and management
Ability to explain or clarify financial and regulatory reporting information to internal stakeholders
Ability to learn new processes, systems, and regulatory concepts and apply feedback to improve work product
Ability to organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment
Ability to provide a high level of customer service
Skills
MS Excel
SIS
IMPACT
PeopleSoft
Axiom
Adenza
Benefits
Health insurance
Dental
Vision
Life insurance
Critical illness insurance
Accident insurance
Disability benefits
Retirement savings
Paid time off
Parental leave
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
Benefits
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 the company
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.
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