Raymond James Financial, Inc. Associate Data Analyst, Options Trading in New York, New York
Under general direction, with a high level of autonomy uses knowledge and skills obtained through education and experience to support the Institutional Equity Options business. The Associate Data Analyst works closely with business unit to ensure trade information and books and records are aligned with the regulatory requirements. They are required to pull data on trade activity, and assist in capturing full option order lifecycle activities, including helping GEIB Supervision ensure there is adherence to regulatory requirements for option trades, trade times, books and records and continuously monitoring trade activity, to ensure accuracy in books and records and trade reporting. Supports the business by providing data on trade processing so leaders can summarize business activity for stakeholders to make decisions. Works under general supervision and applies knowledge and skills to resolve complex issues independently. Regular contact with internal departments, supervision, and compliance to resolve problems to ensure accurate documentation.
Essential Duties and Responsibilities
Interprets basic option trade data and inputs order lifecycles into trade blotters and books and records.
Serves as a liaison with the business, compliance, and supervision for the Institutional Equity Options business.
Ensures accuracy of all trade data associated with Institutional Equity Options business, including all required fields for trade and order information.
Acquires data and information from many sources and creates repository for all trade information for accurate books and records purposes.
Develops and maintains strong relationships across all levels of the organization.
Balances conflicting resource and priority demands.
Locates and defines new process improvement opportunities.
Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities
Fundamental concepts, practices and procedures of US Equities and Options.
Concepts, practices and procedures used in the Capital Markets industry.
Financial markets, products, compliance and regulatory process.
Company’s working structure, policies, procedures, mission, and strategies.
Cultivating and maintaining effective working relationships at all levels of the organization.
Demonstrate uncompromising adherence to ethical principles.
Monitoring business activities to ensure accuracy of processes and procedures.
Attention to detail
Identifying relationships, drawing logical conclusions, and interpreting results.
Understanding Options and market structure.
Operating standard office equipment and using required software applications to perform job.
Identify and understand issues, problems and opportunities; compare data from different sources to draw conclusions.
Clearly convey information to individuals or groups in a manner that is within regulatory guidelines.
Partner with compliance and supervision to accomplish objectives.
Attend to detail while maintaining a big picture orientation.
Interpret and apply policies and identify and recommend changes as appropriate.
Organize and prioritize multiple tasks and meet deadlines.
Develop and use collaborative relationships to facilitate the accomplishment of work goals.
Understand Option market structure and determine accurate trade times.
Use firm and third-party vendor systems to review and input data.
Educational/Previous Experience Requirements
Bachelor’s Degree (B.A. or B.S.) in Finance, Accounting or Business and a minimum of (1) one to (2) two years of experience in the Principal Trading area of the financial services industry preferred, and/or related fields.
Any equivalent combination of experience, education, and/or training approved by Human Resources.
- None required.
Job: Auditing & Compliance
Primary Location: US-NY-New York-New York City
Organization Global Equities & Investment Banking
Job Shift Day Job
Req ID: 2203762
Raymond James Financial, Inc.
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