Job Description Summary

Under limited direction, the DCIO Internal Wholesaler leverages specialized knowledge and experience to independently lead all facets of the sales process within the Defined Contribution Investment Only (DCIO) channel. As the sole point of contact for financial advisors, retirement plan specialists, and other intermediaries, this role is responsible for driving sales, cultivating relationships, and promoting the firm’s retirement-focused investment solutions. Additionally, the role includes proactive phone coverage and advisor support across the assigned region to ensure consistent service and sales momentum

Job Description

Job Summary:

Under limited direction, the DCIO Internal Wholesaler leverages specialized knowledge and experience to independently lead all facets of the sales process within the Defined Contribution Investment Only (DCIO) channel. As the sole point of contact for financial advisors, retirement plan specialists, and other intermediaries, this role is responsible for driving sales, cultivating relationships, and promoting the firm’s retirement-focused investment solutions. Additionally, the role includes proactive phone coverage and advisor support across the assigned region to ensure consistent service and sales momentum

Responsibilities:

• Assists in all aspects of the sales process.

• Communicates to Financial Advisors and introduces products both in person and by phone.

• Assists in case analysis and presentation.

• Assists in the creation of client proposals, investment policy statements, and Morningstar reports, etc. as needed.

• Assists in supporting marketing campaigns by organizing and implementing telephone calls and mailings.

• Responds to requests from Financial Advisors who need assistance in selling products.

• Performs other duties and responsibilities as assigned.

Knowledge of:

• The securities industry and products.

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

• Advanced concepts, principles and practices of assigned functional area.

• Broker/dealer operations.

Skill in:

• Preparing and delivering clear, convincing and professional presentations to small and large audiences.

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

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

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

• Follow-up to ensure resolution and completion of tasks.

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

Ability to:

• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with internal and external clients at all organizational levels, and with all levels of expertise in the securities industry, to accomplish objectives.

• Effectively address concerns or challenging questions when they arise.

• Represent RJA in a highly professional manner.

• Effectively market Raymond James and show resilience through the prospecting process.

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

• Take on responsibilities beyond what is required; volunteers to take on new assignments.

• Exhibit tendencies to be a self-starter and not wait for signals.

• Promote products and be comfortable in a sales environment.

• Demonstrate high self- confidence.

• Excel in a team environment.

Educational/Previous Experience Requirements:

• Associate’s Degree (A.A.) in related field and/or one (1) to three (3) years financial industry related experience and/or training; or equivalent of education and experience.

~or~

• Any 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 License, to be obtained within six (6) months of hire date.

Education

Associate's

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

Hybrid

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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