**Job Description** 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 locations: Memphis, TN or Southfield, MI. Uses specialized knowledge and skills obtained through experience and/or training in the securities industry to reconcile various central repositories and firm records. Associate will assist the firm in maintaining proper compliance with industry/firm rules and regulations. Proactively collaborates with management and team to identify opportunities for operational efficiency and process improvement to mitigate financial, reputational and regulatory risk. Applies new and changing rules and/or regulations to daily work. Works with team to update processes and departmental procedures to maintain compliance to rule changes. Identifies and resolves discrepancies between internal records and external reports and implements solutions to complex problems. Extensive contact with other Operations departments in terms of research, identification of issues and escalation of discrepancies. Produce accurate reports for others by collecting data from a variety of standard sources. **Knowledge of** : + Financial markets, products and regulatory requirements + Back office brokerage operations (processes, terminology, systems) + Fundamental project management tools, techniques and procedures + General accounting procedures/concepts + Brokerage operations and how functions performed by Regulatory Reconciliation align with business partners + Financial industry rules, regulations and laws relating to processes performed by Regulatory Reconciliation + Regulatory terminology, concepts, and guidance **Responsibilities** : + Provide operational support by performing a range of routine activities using existing systems and protocols. + Create a local document management system for an office or department. + Find the most effective ways to respond to routine functional inquiries. Involves following procedures and precedents. + Develop knowledge and understanding of the organization's policies and procedures and of relevant regulatory codes and codes of conduct to ensure own work adheres to those standards. Obtain authorization from a supervisor or manager for any exceptions from mandatory procedure. + Develop own capabilities by participating in assessment and development planning activities as well as formal and informal training and coaching. Develop and maintain an understanding of relevant technology, external regulation, and industry best practices through ongoing education, attending conferences, and reading specialist media. **Skills** : + Supports business processes without supervision by understanding and effectively using standard office equipment and standard software packages, while providing technical guidance as needed. + 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. + Uses an understanding of numerical concepts to perform mathematical operations such as report analysis with guidance (but not constant supervision). + Works with guidance (but not constant supervision) to select, deploy and get the best results from the most appropriate office system. + Works with guidance (but not constant supervision) to develop, monitor, interpret and understand policies and procedures, while making sure they match organizational strategies and objectives. **Education** High School (HS) **Work Experience** General Experience - 7 to 12 months **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 99_OS-Operations Professional - Financial Industry Regulatory Authority (FINRA) **Travel** Less than 25% **Workstyle** Hybrid 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. \#LI-CA1