This home-office Executive & Stock Plan Solutions analyst performs many of the equivalent functions as a traditional retail branch advisor with the concession of advice and is in contact with internal business partners and external clients on a daily basis. Under general supervision, uses the extensive knowledge and skills obtained through education and experience to gather data and support operational and trading activities relating to Rule 10b5-1 stock trading plans and corporate clients’ equity plans. Follows established procedures to perform routine tasks that range from basic to intermediate in complexity and receives guidance and direction to perform any non-routine tasks assigned. Supervision is provided to perform varied complex activities that require specific evaluation.
Essential Duties and Responsibilities:
Facilitates the opening and maintenance of client accounts
Assists with setting up Client Access, if needed for preferred third-party plan administrators
Ensures required client paperwork is current with firm and industry requirements, rules, and regulations
Processes and follows up on client documentation for proper maintenance of accounts and securities transactions
Provides operational support to clients in handling basic requests
Receives and processes unsolicited trade orders from clients or Financial Advisors
Monitors the receipt and processing of securities to complete transactions
Manually facilitates trade order processing when required
Ensures that trades are executed and confirmed in accordance with regulatory and organizational policies and procedures
Facilitates the price adjustment and trade correction process
Ensures trades are confirmed and researches and resolves unconfirmed trades.
Contacts internal and external customers to resolve trading problems.
Maintains currency in trading policies, procedures and regulatory changes
Monitors client information and restrictions
Builds and maintains professional relationships with internal and external client
Updates and maintains data and information in required databases
Supports and complies with established policies and procedures. May recommend suggestions to improve workflows, policies and procedures.
Qualifications:
Knowledge, Skills, and Abilities:
Knowledge of
Industry regulations related to trading activities.
Concepts, practices and procedures of securities trading.
Operations, Money Movement and New Accounts systems.
Basic investment concepts, practices and procedures used in the securities industry
FactSet
Excel, Access, Smartsheet, Word, along with other applications as needed.
Skills
Identifying and resolving operational issues, with a strong knack to recommend improvements that boost efficiency or efficacy.
Numerical aptitude and critical thinking sufficient to solve operational problems.
Identifying the needs of customers through effective questioning and listening techniques.
Operating standard office equipment and using required software applications to produce correspondence, reports and electronic communication.
Communicating, both verbally and in writing, sufficient to interact with associates at all levels of the organization, as well as clients, Financial Advisors, and Branch personnel.
Ability to
Demonstrate efficiency and flexibility in performing detailed transactional tasks in a fast-paced work environment with frequent interruptions and changing priorities.
Analyze operational processes and identify opportunities for improvement.
Provide courteous, timely service when addressing client issues and transactions
Participate in on-the-job training and other learning activities to develop knowledge and understanding of FINRA, state and other regulatory agency rules and regulations regarding client accounts
Organize and prioritize workload to meet deadlines
Multitask to handle phones while processing time-sensitive client requests.
Cultivate and maintain effective working relationships
Educational/Previous Experience Requirements:
Bachelor’s Degree (B.A./B.S.) in a related discipline (Finance, General Business, or Economics very strongly preferred).
Minimum of three (3) years of relevant experience
~or~
Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications:
Licenses/Certifications Required from Date of Hire:
Securities Industries Essentials (SIE) Exam within 2 months of hire
Series 7 within 4 months of hire
Series 66 within 6 months of hire
Series 57 within 9 months of hire
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.
Job :
Private Clients Solutions
Primary Location :
US-FL-St. Petersburg-Saint Petersburg
Organization :
Private Client Group
Schedule :
Full-time
Shift :
Day Job
Travel :
Yes, 5 % of the Time
Eligible for Discretionary Bonus :
Yes
Seniority level
Not Applicable
Employment type
Full-time
Job function
Business Development and Sales
Industries
Financial Services
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