Job Summary:

Under limited supervision, uses specialized knowledge and skills obtained through education and experience to perform various broker/dealer regulatory reporting duties including: report filings, journal entries, and financial analysis. Evaluation, originality and ingenuity are required to locate, select and apply appropriate procedures, processes and techniques to specific assignments. Regular contact with senior management and other internal customers is required to resolve regulatory reporting issues and problems. Interact with Regulators during on-site examinations. This role will be focused on the preparation of the FOCUS reporting packet relating to SEA Rule 15c3-1, 15c3-3 and 17a-5, SEC and FINRA supplemental Reporting, FINRA AEP, and the preparation of the Weekly Reserve Calculation in compliance with SEC Rule 15c3-3.

Essential Duties and Responsibilities:

• Prepare, analyze and file regulatory reports and schedule

• Review, evaluate and implement process improvements, as appropriate.

• Assist in month end regulatory reporting post-closing process.

• Work with IT, Operations, and other departments on various firm-wide projects.

• Assist with the external audits, internal audits and regulatory examinations.

• Perform other duties and responsibilities as assigned.

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 Operation

• SIS, IMPACT and Peoplesoft/Computron system

• MS Excel - (vlookups, pivot tables, macros, etc.)

Skill in:

• Multi-tasking on various project

• Analyzing financial information.

• Working on IT/Technology related project

• 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

~or~

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

~or~

• A minimum of four (4) years public accounting experience in the financial services industry

~or~

• 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 day

Raymond James Guiding Behaviors

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 outcome

• 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