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Job Description

Job Summary

Under limited supervision, uses advanced 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. The work will entail a variety of tasks requiring some decision-making responsibility. Ingenuity is also required to locate, select and apply appropriate procedures, processes and techniques to assignments that are broad in nature. Resolves 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.

Essential Duties and Responsibilities

+ Creates, enhances and maintains the infrastructure to support business operations within Fixed Income Capital Markets.

+ Interprets and applies organizational policies and procedures.

+ Implements systems and processes for maintaining records and documentation.

+ 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.

+ Interprets, applies and recommends changes to organizational policies and procedures.

+ Balances conflicting resource and priority demands.

+ Ensures effective coordination occurs within assigned work group and with other work groups.

+ Operates standard office equipment and uses required software applications.

+ Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of

+ Intermediate level concepts, practices and procedures of the paralegal profession.

+ Concepts, principles and practices of assigned functional area.

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

+ Principles of banking and finance operations.

+ Financial markets and products.

Skill in

+ Organization

+ Attention to detail

+ Interpreting and applying policies and procedures.

+ Establishing operational objectives.

+ Implementing processes and procedures for efficient and timely workflow.

+ Preparing management reports.

+ Promoting effective coordination between work groups.

+ 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.

+ Incorporate needs, wants and goals from different business unit perspectives into operational processes.

+ 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 three (3) 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 required.

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

Education

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

Work Experience

General Experience - 3 to 6 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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