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Job Description

Job Summary:

Under general supervision, uses specialized knowledge and skills obtained through experience and/or formal training to assist Independent Registered Investment Advisory Firms and Financial Advisors to research and resolve escalated issues regarding client accounts. Recommends solutions to moderately complex problems. Maintains extensive contact with internal customers.

Essential Duties and Responsibilities:

• Serves as a liaison between home office departments and Independent Registered Investment Advisors to research and resolve escalated issues regarding clients’ accounts via phone, correspondence, email and online inquiries.

• Follows an issue from initiation through resolution, final communications, and follow-up.

• Determines best method to resolve issues to ensure client satisfaction and adherence to company and IAD Division policies.

• Follows up, either verbally or in writing, to ensure client satisfaction.

• Responds to inquiries related to qualifications, instructions or paperwork requirements for various programs.

• Addresses inquiries pertaining to operational policies and procedures by relaying policies that govern procedures at the retail level.

• Reviews, maintains and documents weekly reports.

• Interfaces with existing clients looking to trade their account(s) designated as house account(s) until a new Financial Advisor is established.

• Performs other duties and responsibilities as assigned.

• Processes monthly and quarterly billings submitted by RIA’s.

• Does all registration – adding/terming new offices, FA’s for all IAD offices.

Qualifications - External

Knowledge, Skills, and Abilities:

Knowledge of:

• Basic office practices, procedures and methods.

• Strong Excel skills

• Account types and industry operations in general.

• Back office systems.

Skill in:

• Organizational and time management skills sufficient to prioritize workload, handle multiple tasks, and meet deadlines.

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

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

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

• Strong analytical ability with high aptitude for speed and acumen.

Ability to:

• Provide a high level of customer service in a calm, courteous and professional manner.

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

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

• Use effective oral and written communication skills sufficient enough to communicate and interact effectively with Financial Advisors and branch associates.

• Constructively work under stress and pressure when faced with high workloads and deadlines.

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

Educational/Previous Experience Requirements:

• High School Diploma or equivalent and a minimum of (1) year of experience in the financial services industry, preferably including related service experience. College degree preferred.

~or~

• An equivalent combination of experience, education, and/or training as approved by Human Resources.

Licenses/Certifications:

• SIE and Series 7 preferred

Education

Bachelor’s, Bachelor’s: Business Administration, Bachelor’s: Finance

Work Experience

General Experience - 3 to 6 years

Certifications

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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