Job Summary :
Under general supervision, uses advanced skills gained through
training and experience to provide pro-active support to financial
advisors and assist with efficient, quality client service. Follows
established procedures to perform routine tasks and receives
general guidance and direction to perform other work with
substantial variety and complexity requiring limited decision
making responsibility. Extensive contact with internal and external
clients to resolve most questions and problems and refers new or
unusual issues to a higher level.
Essential Duties and Responsibilities :
Interacts daily on the phone and in person with prospective and
existing clients including handling basic inquiries and providing
Solicits and receives orders for the Financial Advisor.
May enter unsolicited trades at the direction of the Financial
May service less active accounts.
Researches client and security information through the back
Processes and follows up on client documentation for proper
maintenance of accounts.
Prepares letters, forms, and spreadsheets to assist with
servicing existing clients and prospecting for new clients.
Creates and maintains records and files.
Ensures required client paperwork is current with firm and
industry requirements, rules and regulations.
Maintains databases and creates reports using portfolio software
Assists Financial Advisors with marketing efforts including
Receives and processes securities.
Participates in and receives cross-training, as well as assists
with other operational functions as required.
Performs other duties and responsibilities as assigned.
Companys working structure, policies, mission, and
General office practices, procedures, and methods.
Investment concepts, practices and procedures used in the
Financial markets and products.
Operating standard office equipment and using required software
applications to produce correspondence, reports, electronic
communication, spreadsheets, and databases.
Analyzing to be able to research account information.
Organize, manage, and track multiple detailed tasks and
assignments with frequently changing priorities and deadlines in a
fast-paced work environment.
Handle stressful situations and provide a high level of customer
service in a calm and professional manner.
Use appropriate interpersonal styles and communicate
effectively, both orally and in writing, with all organizational
Use mathematics sufficient to process account and transaction
Provide a high level of customer service.
Educational/Previous Experience Requirements :
High School Diploma or equivalent and minimum of two years
financial services industry experience.
An equivalent combination of experience, education, and/or
training as approved by Human Resources.
SIE required provided that an exemption or grandfathering cannot
Series 7 required.
Series 63, 65 and/or 66 as required by state. 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
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