Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office.
Onboards new clients, opens new client accounts and researches client and security information using internal databases and other technologies.
Ensures key client information and documentation is current with firm and industry requirements, rules and regulations.
Processes and monitors the transfer of assets to ensure all assets and cost basis were successfully received.
Monitors available cash awaiting investment, including running weekly cash and cash equivalent reports and contacting clients with investment opportunities to maximize returns.
Reviews, assesses and responds to all corporate action items and client account alerts.
Prepares financial reports, spreadsheets and other materials for client meetings.
Inputs orders and rebalances portfolios on behalf of the Financial Advisors.
Creates and maintains records and files utilizing Client Relationship Management (CRM) software.
Assists Financial Advisors with marketing efforts including seminars and other client-facing events.
Actively engages in available training/cross-training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures.
Performs other duties and responsibilities as assigned.
Skills
Company’s working structure, policies, mission, and strategies.
Managed account platforms.
General office practices, procedures, and methods.
Investment concepts, practices and procedures used in the securities industry.
Financial markets, products and industry regulations.
Trading terminology.
Client Relationship Management (CRM) software, or similar contact management software.
Goal planning software.
Excel, including developing spreadsheets as needed and for ongoing reporting.
Effective communication across multiple client interactive platforms (in-person, virtual, phone and mail)
Operate standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
Analyze and research account information.
Organize, manage, and track multiple, detailed tasks and assignments with. frequently changing priorities and deadlines in a fast-paced, task-oriented work environment.
Identify time sensitive items and assess competing priorities.
Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns.
Handle stressful situations and provide a high level of customer service in a calm and professional manner.
Analyze problems and establish solutions in a fast paced environment.
Use mathematics sufficient to process account and transaction information.
Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels, in person and virtually.
Work both independently and as part of a cohesive team.
Provide a high level of customer service.
Education/Previous Experience
High School Diploma or equivalent and one (1) or more years securities industry or related work experience preferred, or an equivalent combination of experience, education, and/or training as approved by Human Resources.
Licenses/Certifications
SIE required provided that an exemption or grandfathering cannot be applied.
Series 7 required.
Series 63, 65 and/or 66 as required by state.
Education
High School (HS) - Completed (Required)
- Work Experience
- General Experience - 0 to 3 months
Certifications s66 - Uniform Combined State Law Examination - Financial Industry Regulatory Authority (FINRA), s7 - General Securities Representative Examination - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)
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. #LI-AC1
