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Job Description Summary

Under administrative direction, uses extensive knowledge and skills obtained through education and experience to successfully lead the development of new relationships, and cultivate existing contacts, to pro-actively capture and grow new revenues on a territory or national level. Serves as the Home Office sales contact for broker/dealers, Financial Advisors or executives desiring to learn about the department’s services or platforms, and/or to sell the department’s products. Responsible for leading a team in providing value added ideas and marketing support to all division/subsidiary brokers, agents or registered representatives. May be responsible for supervising the internal wholesaling support staff.

Job Description

Job Summary:

Under administrative direction, uses extensive knowledge and skills obtained through education and experience to successfully lead the development of new relationships, and cultivate existing contacts, to pro-actively capture and grow new revenues on a territory or national level. Serves as the Home Office sales contact for broker/dealers, Financial Advisors or executives desiring to learn about the department’s services or platforms, and/or to sell the department’s products. Responsible for leading a team in providing value added ideas and marketing support to all division/subsidiary brokers, agents or registered representatives. May be responsible for supervising the internal wholesaling support staff.

Essential Duties and Responsibilities:

• Creates and maintains proactive relationships with targeted prospects to continually refresh their knowledge about the advantages the firm can offer, and sets appointments with interested prospects.

• May deliver presentations to prospects highlighting how the department’s products, services and/or tools can meet their needs.

• Schedules and plans territory/regional trips and seminars.

• Maintains open communication with internal resources and clients through all phases of the sales process.

• Actively develops and maintains territory zones within sales database system.

• Responds to requests from brokers, agents or registered representatives who need assistance in selling product(s), utilizing department resources or problem solving.

• Orchestrates the creation of proposals for prospective broker/dealers or clients including, when necessary, financial projections to illustrate the charges/commissions on various types of business.

• Assists in the creation of reports as needed.

• Manages the process of properly coordinating home office visits for prospective new clients, if applicable.

• Assists in the “transition” of account transfers for new clients.

• Contacts new clients, in person and/or on the phone, to grow the relationship and educate them on the department’s products, technology and/or services.

• May periodically contact existing clients to ensure that the department’s services are meeting their needs and to seek to capture additional revenues where possible.

• Acts as a liaison between existing clients and various internal departments on issues ranging from compensation to client services.

• Assists senior management with implementing a sales and marketing (business) plan.

• Works with sales and marketing department staff to develop and implement territory/national sales and marketing strategies.

• May support marketing campaigns by organizing and implementing telephone calls and mailings; Responsible for controlling costs of distribution regarding promotional items.

• May assist in preparing and presenting operational budgets for assigned functional area.

• Interprets and applies organizational policies and procedures.

• Performs supervisory activities, including identifying performance problems and seeking guidance for remedial action; reviewing performance; and participating in interviewing and selecting staff.

• Plans, assigns, monitors, reviews, evaluates and leads the work of others.

• Coaches and mentors subordinates, identifies training needs and recommends appropriate development programs.

• Balances conflicting resource and priority demands.

• Performs other duties and responsibilities as assigned.

Qualifications - External

Knowledge, Skills, and Abilities:

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:

• 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.

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

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

Ability to:

• Train, coach, mentor and lead the work of others.

• Partner with other functional areas to accomplish objectives and reach goals.

• Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.

• Attend to detail while maintaining a big picture orientation.

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

• Maintain confidentiality.

• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with internal and external client’s 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.

• Identify problems, gather facts, and develop solutions.

Educational/Previous Experience Requirements:

• Bachelor’s Degree with five (5) years related Insurance and/or Investment Advisory/Brokerage experience in the financial services industry.

~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.

• FINRA Series 66 and 7 and 6 licenses, or ability to obtain within six (6) months

• Insurance and Health license

Education

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

Work Experience

Manager Experience - 10 to 15 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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