Job Summary:

Under general direction, uses extensive knowledge and skills obtained through education and experience to assist institutional clients. Prospect for and retain clients in order to enable those clients to reach their financial goals based on their objectives, time horizon, and risk tolerance.

Essential Duties and Responsibilities:

• May review portfolios and generates sales ideas.

• Advises clients on investment and risk strategy.

• Interviews clients to assess their requirements.

• Provides excellent customer service in a professional manner.

• Establishes and maintains new accounts.

• Executes trades for customers; obtains the best prices possible for their clients at the time of dealing and conducts the transaction.

• May perform other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

Knowledge of:

• Economic and accounting principles and practices, the financial markets, banking, and the analysis and reporting of financial data.

• Comprehensive understanding of concepts, practices and procedures of Fixed Income trading.

• Advanced practices, and procedures used within the securities industry.

• Financial markets and Institutional investment management products.

• Company’s working structure, policies, mission, strategies, and compliance guidelines.

Skill in:

• Identifying the needs of customers through effective questioning and listening techniques.

• Interpreting and applying policies and procedures.

• Detail orientation to ensure quality standards are met without impairing work flow.

• Problem solving sufficient to effectively analyze, research and resolve inquiries in a timely manner.

• Organization sufficient to handle multiple tasks simultaneously in a fast-paced environment.

• Operating standard office equipment and using required software application to produce correspondence, reports, and electronic communication.

Ability to:

• Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.

• Continuously learn investment products, industry rules and regulations, and financial planning.

• Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.

• Articulate reasons behind decisions.

• Keep all appropriate parties up-to-date on decisions, changes, and other relevant information.

• Establish and maintain effective working relationships with others.

• Network in the community, effectively market himself or herself and Raymond James, and show resilience through the prospecting process.

• Provide a high level of customer service.

Educational/Previous Experience Requirements:

• Bachelor’s degree (B.A) from four-year college or university preferred, and a minimum of two (2) years working experience, including sales (preferably intangible) or business experience demonstrating achievement 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.

• FINRA Series 7 License.