Urgent! CAT/CAIS Reporting Analyst –Remote Flexibility for Qualified Candidates Job Opening In Jefferson City – Now Hiring Raymond James Financial, Inc.
**_Please note: This role is not eligible for Work Visa sponsorship, either currently or in the future._**
We are seeking a detail-oriented professional with hands-on experience in regulatory reporting, specifically with **CAT** and **CAIS** , to support our compliance operations and ensure accurate trade and account data submissions.
**_A fully remote option may be considered for candidates with demonstrated expertise in CAT and CAIS reporting._** Typically, 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: Memphis, TN or Southfield, MI.
The Regulatory Operations Analyst ( _CAT/CAIS Reporting Analyst_ ) plays a key role in supporting the firm’s compliance with non-financial regulatory reporting requirements.
Leveraging advanced knowledge and experience, this role is responsible for monitoring the possession and control of client assets, preparing and validating regulatory reports, and ensuring adherence to applicable industry rules and firm policies.
This position collaborates closely with management to identify and mitigate financial, reputational, and regulatory risks.
The analyst also contributes to the interpretation and implementation of new or evolving regulatory requirements, offering insights and recommending process improvements.
Regular interaction with internal stakeholders, including compliance teams and internal auditors, is essential to investigate and resolve observations and ensure the integrity of reporting practices.
**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.
**Responsibilities** :
+ Responsible for the production, validation and submission of non-financial regulatory reports (e.g., Consolidated Audit Trail (CAT) Electronic Blue Sheets (EBS), Large Options Position Report (LOPR), etc.)
+ Collaborates with other business units (Brokerage Operations, Trading, Compliance, IT, and Legal)
+ Assists and provides input in the interpretation of new/changing securities rules, regulations, policies or laws; updates processes for compliance to rules and regulations as well as departmental procedures
+ Compiles operational information for internal and external auditors (e.g. FINRA, SEC) with limited oversight
+ Plans and executes remediation efforts for any identified issues with minimal guidance/support from Supervisor/Manager; assists the Manager or Senior Analyst in formalizing milestones needed in order to implement corrective action plans for any identified issues
+ Assists Manager or Senior Analyst in the design, planning, and execution of testing strategies; under direct supervision, may lead the testing efforts of other analysts; communicate any issues to management that require immediate attention in a clear and concise manor; draft recommendations to mitigate risk
+ Participates on projects
+ Performs other duties and responsibilities as assigned
**Knowledge of** :
+ Non-Financial Regulatory reporting requirements
+ Financial market impacts
+ Regulatory terminology, concepts, and guidance
+ Back Office brokerage operations processes and procedures
+ Trading life cycle (Orders, Executions, Allocations)
+ FINRA, SEC and Exchange trading rules, regulations and laws
**Skill in:**
+ Creating procedures and business process workflow documentation
+ Evaluating processes/systems and identifying risks and controls;
+ Recommending appropriate actions/revisions to resolve gaps or mitigate risk
+ Microsoft Office (Excel, Access, PowerPoint) and other software applications
+ Written and Verbal Communication
+ Operating standard office equipment
**Ability to:**
+ Proactively engage, collaborate and influence business partners in the adoption of identified opportunities to create or enhance a process
+ Support efforts in the evaluation or implementation of an existing or new process
+ Interpret financial/brokerage rules, regulations and security laws; ensure all industry rules, regulations, and the practice follows security laws that apply to a process
+ Manage multiple tasks with potential interruptions and changing priorities
+ Quickly understands complex subject matters
+ Demonstrate critical thinking in a constantly changing environment
✨ Smart • Intelligent • Private • Secure
Practice for Any Interview Q&A (AI Enabled)
Predict interview Q&A (AI Supported)
Mock interview trainer (AI Supported)
Ace behavioral interviews (AI Powered)
Record interview questions (Confidential)
Master your interviews
Track your answers (Confidential)
Schedule your applications (Confidential)
Create perfect cover letters (AI Supported)
Analyze your resume (NLP Supported)
ATS compatibility check (AI Supported)
Optimize your applications (AI Supported)
O*NET Supported
O*NET Supported
O*NET Supported
O*NET Supported
O*NET Supported
European Union Recommended
Institution Recommended
Institution Recommended
Researcher Recommended
IT Savvy Recommended
Trades Recommended
O*NET Supported
Artist Recommended
Researchers Recommended
Create your account
Access your account
Create your professional profile
Preview your profile
Your saved opportunities
Reviews you've given
Companies you follow
Discover employers
O*NET Supported
Common questions answered
Help for job seekers
How matching works
Customized job suggestions
Fast application process
Manage alert settings
Understanding alerts
How we match resumes
Professional branding guide
Increase your visibility
Get verified status
Learn about our AI
How ATS ranks you
AI-powered matching
Join thousands of professionals who've advanced their careers with our platform
Unlock Your CAT CAIS Potential: Insight & Career Growth Guide
Real-time CAT CAIS Jobs Trends in Jefferson City, United States (Graphical Representation)
Explore profound insights with Expertini's real-time, in-depth analysis, showcased through the graph below. This graph displays the job market trends for CAT CAIS in Jefferson City, United States using a bar chart to represent the number of jobs available and a trend line to illustrate the trend over time. Specifically, the graph shows 549 jobs in United States and 18 jobs in Jefferson City. This comprehensive analysis highlights market share and opportunities for professionals in CAT CAIS roles. These dynamic trends provide a better understanding of the job market landscape in these regions.
Great news! Raymond James Financial, Inc. is currently hiring and seeking a CAT/CAIS Reporting Analyst –Remote Flexibility for Qualified Candidates to join their team. Feel free to download the job details.
Wait no longer! Are you also interested in exploring similar jobs? Search now: CAT/CAIS Reporting Analyst –Remote Flexibility for Qualified Candidates Jobs Jefferson City.
An organization's rules and standards set how people should be treated in the office and how different situations should be handled. The work culture at Raymond James Financial, Inc. adheres to the cultural norms as outlined by Expertini.
The fundamental ethical values are:The average salary range for a CAT/CAIS Reporting Analyst –Remote Flexibility for Qualified Candidates Jobs United States varies, but the pay scale is rated "Standard" in Jefferson City. Salary levels may vary depending on your industry, experience, and skills. It's essential to research and negotiate effectively. We advise reading the full job specification before proceeding with the application to understand the salary package.
Key qualifications for CAT/CAIS Reporting Analyst –Remote Flexibility for Qualified Candidates typically include Other General and a list of qualifications and expertise as mentioned in the job specification. Be sure to check the specific job listing for detailed requirements and qualifications.
To improve your chances of getting hired for CAT/CAIS Reporting Analyst –Remote Flexibility for Qualified Candidates, consider enhancing your skills. Check your CV/Résumé Score with our free Resume Scoring Tool. We have an in-built Resume Scoring tool that gives you the matching score for each job based on your CV/Résumé once it is uploaded. This can help you align your CV/Résumé according to the job requirements and enhance your skills if needed.
Here are some tips to help you prepare for and ace your job interview:
Before the Interview:To prepare for your CAT/CAIS Reporting Analyst –Remote Flexibility for Qualified Candidates interview at Raymond James Financial, Inc., research the company, understand the job requirements, and practice common interview questions.
Highlight your leadership skills, achievements, and strategic thinking abilities. Be prepared to discuss your experience with HR, including your approach to meeting targets as a team player. Additionally, review the Raymond James Financial, Inc.'s products or services and be prepared to discuss how you can contribute to their success.
By following these tips, you can increase your chances of making a positive impression and landing the job!
Setting up job alerts for CAT/CAIS Reporting Analyst –Remote Flexibility for Qualified Candidates is easy with United States Jobs Expertini. Simply visit our job alerts page here, enter your preferred job title and location, and choose how often you want to receive notifications. You'll get the latest job openings sent directly to your email for FREE!