Job Information
Raymond James Financial, Inc. Continuing Disclosure Analyst in Memphis, Tennessee
Description
Job Summary
Under minimal supervision, uses intermediate knowledge and skills obtained through experience and/or specialized training to perform a variety of advanced analytic and regulatory filing tasks associated with a municipal issuer’s obligation to provide investors with up-to-date operational and financial information, per SEC Rule 15c2-12. Serves as a subject matter expert to others. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with appreciable latitude for un-reviewed actions or decisions.. Resolves or recommends solutions to complex problems and needs. Regular contact with internal customers and external municipal issuers is required.
Essential Duties and Responsibilities
Research and analyze disclosure filings for their content as well as for inaccuracies in borrower submissions to regulators; work with clients to gather the appropriate data and perform applicable needed remediation.
Communicate with municipal clients, and internal municipal colleagues regarding compliance with Rule 15c2-12 disclosures. Compile and review various table-based financial information, operating data, etc.
While not a formal fiduciary, responsible for accurate and on-time delivery of designated client work as subject matter expert on the Rule and associated compliance.
Qualifications
Knowledge, Skills, and Abilities
Knowledge of
Government regulations
Municipal finance, specifically municipal bonds and notes
Fundamental business practices and concepts that impact the success and profitability of the firm
Basic investment concepts, practices and procedures used in the securities industry
Principles of banking and finance and securities industry operations.
SEC Rule 15c2-12 Compliance
Regulatory terminology, concepts, and guidance.
Skill in
Detail orientation pertaining to preparing and/or analyzing complex financial reports
Gathering, organizing, summarizing and indexing continuing disclosure supporting documentation
Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, and spreadsheets. Advanced proficiency in MS Excel required, database technologies (SQL Server, MySQL, Oracle) a plus.
Effective written and oral communication of complex information
Ability to
Use analytical and critical thinking skills in reading, interpreting, analyzing and applying information from financial documentation and references.
Manage multiple tasks with changing priorities to meet deadlines in a fast paced environment with constant interruptions.
Organize, manage, and track multiple detailed tasks and assignments with critical deadlines in a fast-paced work environment.
Communicate effectively, both orally and in writing.
Work independently as well as collaboratively within a team environment.
Handle stressful situations and provide a high level of customer service in a calm and professional manner.
Establish and maintain effective working relationships with others at all organizational levels.
Educational/Previous Experience Requirements
Education/Previous Experience
Bachelor's degree and zero (0) to two (2) years of experience in a law firm or a financial planning, investment management or other financial services environment. Paralegal and/or trustee experience is a plus.
OR
An equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications
Relevant securities registrations are a plus
Paralegal certification is a plus
Formal technical / analytic training or certifications are a plus
Job: Administrative & Support Services
Primary Location: US-TN-Memphis-Memphis
Organization Public Finance
Schedule Full-time
Job Shift Day Job
Travel Yes, 5 % of the Time
Req ID: 2401149