Job Summary:

Under general supervision, uses the extensive knowledge and skill obtained through education and experience to gather data and support both internal and external clients to support operational and trading activities relating to Equity Compensation Plan support and 10b5-1 Sales Plans for clients and firm advisors. This home-office analyst performs many of the equivalent functions as a traditional retail branch advisor with the concession of advice. Follows established procedures to perform routine task that are basic to intermediate in complexity receiving customary guidance and direction to perform any non-routine task assigned. Supervision is provided to perform varied complex activities that require specific evaluation. Regular contact with internal and external clients is required to obtain, clarify, or provide facts and information.

Essential Duties and Responsibilities:

• Provides Inbox support and processes client requests.

• Facilitates the opening and maintenance of client account

• Assist with setting up Client Access, if needed for preferred third party plan administrator

• Ensures required client paperwork is current with firm and industry requirements, rules and regulations.

• Processes and follows up on client documentation for proper maintenance of accounts and securities transaction

• Provides operational support to clients in handling basic request

• Receives and processes unsolicited trade orders from clients or Financial Advisor

• Monitors the receipt and processing of securities to complete transaction

• Manually facilitates trade order processing when required.

• Ensures that trades are executed and confirmed in accordance with regulatory and organizational policies and procedures.

• Facilitates the price adjustment and trade correction process.

• Ensures trades are confirmed and researches and resolves unconfirmed trades.

• Contacts internal and external customers to resolve trading problems.

• Maintains currency in trading policies, procedures and regulatory change

• Monitors client information and restrictions.

• Builds and maintains professional relationships with internal and external client

• Updates and maintains data and information in required databases.

• Supports and complies with established policies and procedures. May recommend suggestions to improve workflows, policies and procedures.

Qualifications:

Knowledge, Skills, and Abilities:

Knowledge of

• Industry regulations related to trading activities.

• Concepts, practices and procedures of securities trading.

• Operations, Money Movement and New Accounts systems.

• Basic investment concepts, practices and procedures used in the securities industry

• Excel, Access, Word and other applications as needed.

Skills

• Cultivating and maintaining effective working relationship

• Identifying and resolving operational issues.

• Numerical aptitude and critical thinking sufficient to solve operational problems.

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

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

Ability to

• Provide courteous, timely service when addressing client issues and transactions.

• Participate in on the job training and other learning activities to develop knowledge and understanding of FINRA, state and other regulatory agency rules and regulations regarding client accounts.

• Organize and prioritize workload to meet deadline

• Multitask to handle phones and processing.

• Communicate, both written and verbal, sufficient to interact with associates at all levels of the organization as well as clients, FA's and Branch personnel

• Demonstrate efficiency and flexibility in performing detailed transactional tasks in a fast-paced work environment with frequent interruptions and changing priorities.

• Analyzing operational processes and identifying opportunities for improvement.

Educational/Previous Experience Requirements:

• Bachelor's Degree (B.A./B.S.) in a related discipline (Finance, General Business, or Economics very strongly preferred).

• Minimum of three (3) years of experience

~or~

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

Licenses/Certifications:

• Licenses/Certifications Required from Date of Hire:

o Securities Industries Essentials (SIE) Exam within 2 months of hire

o Series 7 within 4 months of hire

o Series 66 within 6 months of hire

o Series 57 within 9 months of hire

Raymond James Guiding Behaviors

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 outcome

• 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