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Financial Regulatory Jobs (NOW HIRING)

Bank of China Limited, New York Branch

NY · On-site

$65 - $150/hr

S. branches' regulatory reports to be filed with the Federal Reserve Bank of New York (FRB), Office ... MS/MBA in Accounting/Finance preferred * A minimum of 5 year of experience in Financial/Regulatory ...

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$71.6K

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How much do financial regulatory jobs pay per year?

As of Aug 14, 2026, the average yearly pay for financial regulatory in the United States is $71,627.00, according to ZipRecruiter salary data. Most workers in this role earn between $44,500.00 and $92,000.00 per year, depending on experience, location, and employer.

Is financial regulatory reporting a good career?

Financial regulatory reporting is a specialized role that involves preparing and submitting financial data to comply with legal standards, often requiring knowledge of accounting, finance, and regulatory requirements. It offers opportunities for career growth in finance and compliance sectors, with roles typically requiring attention to detail and familiarity with reporting tools and regulations. The field can provide stable employment and advancement prospects for those with relevant skills and certifications.

What are some typical challenges faced by professionals in financial regulatory roles?

Professionals in Financial Regulatory roles often deal with the challenge of staying up-to-date with frequently changing regulations and ensuring strict compliance across multiple jurisdictions. Adapting to evolving reporting requirements, interpreting complex legal guidelines, and implementing compliant processes can be demanding, especially in fast-paced financial environments. Team members must communicate clearly with various departments, auditors, and regulators to ensure seamless operations. Successfully managing these challenges is crucial for safeguarding organizational integrity and supporting ongoing business growth.

What is a financial regulatory?

A Financial Regulatory job involves ensuring that financial institutions comply with legal and regulatory requirements. Professionals in this field analyze laws, monitor transactions, and implement policies to prevent fraud, money laundering, and financial misconduct. They work closely with regulatory agencies, internal compliance teams, and risk management departments to uphold financial system integrity. Their role is critical in maintaining transparency, protecting consumers, and ensuring firms operate within legal frameworks.

How to get a job in financial regulatory compliance?

To pursue a career in financial regulatory compliance, candidates typically need a bachelor's degree in finance, law, or a related field, along with knowledge of industry regulations such as AML, KYC, and SEC rules. Gaining relevant experience through internships or entry-level positions and obtaining certifications like Certified Regulatory Compliance Manager (CRCM) can improve job prospects. Strong analytical skills, attention to detail, and familiarity with compliance tools are also important.

What are the key skills and qualifications needed to thrive in financial regulatory roles?

To thrive in a Financial Regulatory role, you need a robust understanding of financial regulations, compliance standards, and risk management, typically supported by a degree in finance, law, or a related field. Familiarity with regulatory reporting systems, compliance monitoring software, and certifications such as CAMS or CRCM is highly valuable. Exceptional analytical thinking, attention to detail, and strong communication skills set successful professionals apart in this position. These abilities ensure financial institutions adhere to complex regulations, minimize risk, and maintain trust with stakeholders and authorities.

What is a financial regulatory analyst?

A financial regulatory analyst is a professional who monitors and interprets financial laws, regulations, and policies to ensure that financial institutions comply with legal standards. They often analyze risk, prepare reports, and may use tools like compliance software to support regulatory adherence in banking, investment, or insurance sectors.
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Financial Regulatory jobs near you
Infographic showing various Financial Regulatory job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 84% Full Time, 13% Part Time, and 2% Contract. Highlights an 90% Physical, 3% Hybrid, and 7% Remote job distribution, with an average salary of $71,627 per year, or $34.4 per hour.

Regulatory Operations Analyst

Raymond James Financial, Inc.

Southfield, MI • On-site

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Re-posted 5 days ago

Job description

Job Description Summary
Job Description
Join a collaborative and highly visible team responsible for ensuring the integrity and accuracy of critical Non-Financial Regulatory Reporting obligations. In this role, you'll leverage your expertise in regulatory operations to help support the firm's compliance with SEC, FINRA, OCC, Federal Reserve, exchange and other regulatory reporting requirements while driving process improvements that strengthen risk controls and operational efficiency.
This hybrid-friendly position offers the flexibility of remote work combined with the benefits of in-person collaboration, requiring three days per week in our Southfield, MI office.
What You'll Do
As a Regulatory Operations Analyst, you will play a key role in managing and enhancing the firm's non-financial regulatory reporting program. The role partners with Operations, Trading, Compliance, Technology, Legal and Risk Management teams to investigate reporting issues, improve data quality, regulatory reporting controls and governance requirements.
Key Responsibilities
  • Produce, validate, reconcile, and submit Non-Financial Regulatory reports, including:
    • Consolidated Audit Trail (CAT)
    • Electronic Blue Sheets (EBS)
    • Large Options Position Reports (LOPR)
    • Short Interest Reporting
    • Treasury International Capital (TIC)
    • SEC Schedule 13F
    • Other regulatory reporting obligations assigned
  • Monitor reporting quality and identify, research, and resolve exceptions and data discrepancies.
  • Partner with Brokerage Operations, Trading, Compliance, Technology, and Legal teams to address reporting issues and improve data quality.
  • Evaluate new and changing regulatory requirements and support implementation efforts across impacted business areas.
  • Participate in regulatory examinations, audits, and inquiries from FINRA, SEC, and other regulatory bodies.
  • Conduct root-cause analysis and lead remediation efforts for identified reporting issues.
  • Support risk assessments, testing initiatives, and control enhancements to strengthen regulatory reporting processes.
  • Document procedures, workflows, and controls while identifying opportunities for automation and operational efficiencies.
  • Contribute to special projects and strategic initiatives supporting regulatory compliance and operational excellence.

What We're Looking For
Experience
  • Hands-on experience with Non-Financial Regulatory Reporting in a broker-dealer or financial services environment.
  • Experience supporting regulatory reporting, compliance operations, or brokerage operations.
  • Strong understanding of securities markets, trading activity, and the trade lifecycle, including:
    • Orders
    • Executions
    • Allocations
    • Settlements
    • Securities operations and reporting impacts
  • Knowledge of FINRA, SEC, and exchange regulatory requirements.
  • Experience analyzing data, researching exceptions, and resolving reporting discrepancies.
  • Ability to work independently while managing multiple priorities in a fast-paced regulatory environment.
  • Experience supporting regulatory examinations and audits.
  • Experience with one or more regulatory reporting obligations Consolidated Audit Trail (CAT), Electronic Blue Sheets (EBS), Large Options Position Reports (LOPR), Short Interest Reporting or similar reporting requirements.
  • Experience with process improvement, controls testing, or risk management initiatives.
  • Familiarity with operational workflows within brokerage or clearing environments.

Knowledge & Skills
Technical Knowledge
  • Artificial Intelligence (AI) and AI - assisted reconciliation and exception investigation
  • Advanced Microsoft Excel (pivot tables, VLOOKUP, data validation and reconciliation
  • Reporting and workflow management systems
  • User Acceptance Testing (UAT) support
  • Regulatory risk management and controls

Core Skills
  • Regulatory reporting validation and reconciliation
  • Understanding and application of regulatory requirements
  • Analytical problem-solving and critical thinking
  • Root-cause analysis and issue remediation
  • Process improvement and workflow design
  • Regulatory interpretation and implementation
  • Strong written and verbal communication
  • Cross-functional partnership and stakeholder management

Education/Experience:
  • High School Diploma (required)
  • Bachelor's Degree (B.A.) in related field (preferred)
  • 2-years' experience in financial services, brokerage operations, regulatory reporting, compliance, securities operations (preferred)
  • Any equivalent combination of experience and education

Licenses & Certifications
  • Securities Industry Essentials (SIE) required prior to start unless exempt or grandfathered.
  • Series 99 or ability to obtain within 120 days (as required by FINRA), required

Candidates holding qualifying securities registrations (including Series 6, 7, 17, 37, 38, and certain principal-level registrations) may satisfy this requirement without additional examination.
Education
High School (HS) (Required)
Work Experience
General Experience - 7 to 12 months
Certifications
OS - Operations Professional - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)
Travel
Less than 25%
Workstyle
Hybrid
The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.
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.
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