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Job Snapshot
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Employee Type:
Full-Time -
Location:
Memphis, TN -
Job Type:
-
Experience:
Not Specified -
Date Posted:
12/22/2024
Job Description
Job Summary
Under minimal supervision, uses intermediate knowledge and skills obtained through experience and/or specialized training to perform a variety of advanced regulatory review, preparation, and filing tasks associated with a municipal issuers obligation to provide investors with up-to-date operational and financial information, per SEC Rule 15c2-12 (the %22Rule%22). Serves as a subject matter expert on the Rule 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
Job Requirements
Knowledge, Skills, and Abilities
Knowledge of
Government regulations, financial regulations, regulatory compliance processes and their associated terminology, concepts, and guidance.
Legal documents and agreements.
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.
Skill in
Effective written and oral communication of complex information.
Detail orientation pertaining to preparing and/or analyzing complex financial reports.
Advanced proficiency in document review/proofreading and report preparation / report writing skills required.
Advanced proficiency in MS Excel, MS Word, MS Outlook, and MS PowerPoint required,
Gathering, organizing, summarizing and indexing supporting documentation.
Process design and process improvement a plus.
Database technologies (SQL Server, MySQL, Oracle) and analytic toolsets a plus.
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.
Work directly with internal and external clients at all levels as a subject matter expert.
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 one (1) to five (5) years of experience in a law firm or 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
At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm%26#39s 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
