Job Description Summary
Under limited supervision, supports the development and overall growth of the financial advisor/team’s practice, which may include facilitating revenue growth by increasing in-house sales and client base, improving productivity and/or monitoring and controlling expenses. Uses knowledge and skills obtained through education and experience to resolve client service and team project management issues. Supports and sources new clients from initial contact through transition of accounts to the branch. Extensive contact with internal and external customers is required to establish and maintain networking relationships that support new business development.
Job Description
Job Summary
Under limited supervision, supports the development and overall growth of the financial advisor/team’s practice, which may include facilitating revenue growth by increasing in-house sales and client base, improving productivity and/or monitoring and controlling expenses. Uses knowledge and skills obtained through education and experience to resolve client service and team project management issues. Supports and sources new clients from initial contact through transition of accounts to the branch. Extensive contact with internal and external customers is required to establish and maintain networking relationships that support new business development.
Essential Duties and Responsibilities
- Assists with the creation of client focused business development strategies, maintaining and expanding referral sources including the coordination of target marketing campaigns.
- Works independently to source and develop new client relationships to enable financial advisors to meet sales goals.
- Assists with planning and coordinating of special projects for practice to include client events for prospective clients that result in a return on investment.
- Participates in conference calls and meetings with clients to understand their finances and to address issues, interests and concerns.
- Supports delivery of the client experience, including maintaining administrative procedures as well as coordinating execution of client requests.
- Researches and resolves moderately complex problems relating to client accounts and inquiries.
- Maintains expertise in practice management tools and resources, client reporting and compliance practices.
- Maintains strong relationships with key business partners both internal and external.
- Maintains a prospective client database, gathering information and data on prospective clients.
- Assists with preparation of analyses and generates proposals for prospective clients.
- Coordinates /oversees the transition process for new client transition of accounts with other functional areas to ensure a professional process from initial client contact through transition of accounts ensuring proper execution of every step of the new client onboarding process.
- Partners with home office departments to leverage product sales and generate new business opportunities for financial advisors and to coordinate branch-home office workflow.
- Responds to requests from Financial Advisors who need assistance in selling products.
- May assist with continuing education of team members.
- Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities
- Team market strategy.
- Company policies and procedures and industry rules and regulations.
- Investment concepts, practices and procedures used in the securities industry.
- Concepts, practices and procedures of business development in a financial services environment.
- Financial markets and products.
Skill in
- Sourcing and developing prospective clients and responding to inquiries and turning them into new client opportunities.
- Effective questioning and listening techniques.
- Organizational and time management sufficient to prioritize workload, handle multiple tasks, and meet deadlines.
- Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, a databases.
Ability to
- Use oral and written communication skills to interact effectively with all levels of the organization and external clients.
- Provide and lead others in providing a high level of customer service in a calm, courteous and professional manner, utilize tact and diplomacy in dealing with customers in a deadline-driven environment.
- Project a professional and pleasant appearance and demeanor to work with clients; utilizing tact and diplomacy in dealing with customers in a deadline-driven environment.
- Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.
- Maintain currency in investment advisor and financial planner services and products.
- Effectively organize, manage, track and complete multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
- Work independently, under minimal supervision.
Educational/Previous Experience Requirements
- Associates degree in related field with a minimum of five (5) years of industry experience or a Bachelor’s Degree with a minimum of one (1) year of experience in the financial services industry.
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.
Travel
- Travel Required: Yes, 15 % of the Time
Education
Associate's (Required)
Work Experience
General Experience - 3 to 6 years
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)
Salary Range
$45,000.00-$85,000.00
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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