Job Title: Continuing Disclosure Analyst (2401149)
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.
Education/Previous Experience Requirements
- 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.
- 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
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 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.
Raymond James & Associates, Inc., member / , and Raymond James Financial Services, Inc., member / , are subsidiaries of Raymond James Financial, Inc. New York Stock Exchange SIPC FINRA SIPC
Raymond James and Raymond James Financial are registered trademarks of Raymond James Financial, Inc.
