Job Description Summary

Under direct supervision, uses knowledge and skills obtained through experience and training to acquire and track documentation for account opening, as well as review the documentation and ensure that it meets all of the necessary requirements based on regulations. Assists in special projects as needed by FICM Sales Management. Assist in resolving questions and problems, reports new or unusual issues to a higher level, and communicates effectively with internal or external clients to obtain, clarify, or provide facts and information. Additionally helps with administrative duties such as scheduling meetings, coordinate meeting logistics, processing invoices and performs other duties required.

Job Description

Essential Duties and Responsibilities

• Assist in creating, enhancing, and maintaining the infrastructure to support business operations within Fixed Income Capital Markets.

• Stays up to date with evolving regulatory changes and market events impacting the business

• Interprets and applies organizational policies and procedures.

• Coordinates the preparation of special analyses and information reports for management

• Participates in establishing objectives and developing processes and procedures to ensure efficient and timely workflow.

• Performs periodic reporting on work progress, project completions and additional ad-hoc reporting as needed.

• Balances conflicting resource and priority demands.

• Operates standard office equipment and uses required software applications.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of

• Fundamental concepts, principles, and process of Fixed Income regulatory requirements and needs.

• Investment concepts, practices and procedures used in the securities industry.

• Principles of banking and finance operations.

• Operations and systems in assigned functional area.

• Financial markets and products.

Skill in

• Organization

• Attention to detail

• Interpreting and applying policies and procedures.

• Implementing processes and procedures for efficient and timely workflow.

• Preparing management reports.

• Proven ability to build strong relationships with stakeholders, learn quickly, be flexible and think strategically.

• Operating standard office equipment and using required software applications.

Ability to

• Use analytical and critical thinking skills in reading, interpreting, analyzing and applying information from legal documentation and references.

• Balance conflicting resource and priority demands.

• Maintain currency in assigned area of responsibility.

• Partner with other functional areas to accomplish objectives.

• Performs a variety of operations procedures within Fixed Income.

• Read, interpret, analyze and apply information from job-related publications.

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

• Communicate effectively, both orally and in writing.

• Work independently as well as collaboratively within a team environment.

• Establish and maintain effective working relationships at all levels of the organization.

Educational/Previous Experience Requirements

Education/Previous Experience

• Bachelor’s Degree in Business Administration or other discipline related to assigned functional area and a minimum of two (2) to five (5) years’ experience in assigned function,

• OR ~

• An equivalent combination of education, training or experience.

Licenses/Certifications

• SIE required provided that an exemption or grandfathering cannot be applied.

• Paralegal certification preferred but not required.

• Series 24 preferred but not required.

• Series 7/Series 63 License or appropriate series license(s) for assigned functional area, or International equivalent.

Travel Required: Yes, 5 % of the Time

Education

Bachelor’s: Accounting (Required), Bachelor’s: Business Administration (Required), Bachelor’s: Finance (Required)

Work Experience

General Experience - 13 months to 3 years

Certifications

Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Travel

Less than 25%

Workstyle

Resident

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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