Description

Job Summary

Under limited supervision, uses advanced knowledge and skills obtained through experience and/or training to lead others in providing support in specific trading activities within an assigned functional area. Established procedures and prescribed guidelines are provided to perform a variety of tasks requiring some evaluation, originality or ingenuity in making routine decisions. Serves as a resource to others in resolving complex problems and issues. Extensive contact with internal and external customers is required to identify, research, and resolve problems.

Essential Duties and Responsibilities

• Leads the work of others and provides training, coaching and mentoring to less experienced associates.

• Ensures that traders are notified of events that effect orders

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

• Facilitates the price adjustment and trade correction process.

• Ensures the open order file is reconciled and that trade data and information is entered and maintained in required databases.

• Reviews trade problem research results and determines appropriate corrective action.

• Contacts internal and external customers to resolve trading problems.

• Sets up and monitors client information and restrictions.

• Resolves comparison issues and assists in the portfolio allocation process.

• Accepts, screens and routes telephone calls and maintains record of inquiries, as required.

• Maintains currency in trading polices and procedures.

• Performs other duties and responsibilities as assigned.

Qualifications

Knowledge, Skills, and Abilities

Knowledge of

• Industry regulations related to trading activities.

• Concepts, practices and procedures of securities trading.

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

• Accounting principles and procedures.

• Front-end system used in assigned functional area and its relationship with account history.

• Mathematical procedures required to verify and reconcile trading transactions.

Skill in

• Identifying financial events that effect orders

• Reconciling and correcting transactions.

• Updating and maintaining information systems.

• Handling a high volume phone system.

• Operating standard office equipments and using required software applications, sufficient to create documents, spreadsheets, and business correspondence.

Ability to

• Lead the work of other and provide training, coaching and mentoring.

• Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

• Read, interpret, analyze and apply transaction information.

• Analyze and solve problems.

• Communicate effectively, both orally and in writing with associates, and internal and external customers.

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

• Handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner.

• Maintain currency in trading polices and procedures.

• Interpret and apply policies and identify and recommend changes as appropriate.

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

Educational/Previous Experience Requirements

Education/Previous Experience

• High School Diploma or equivalent with a minimum of two (2) years of experience in the financial services industry.

• Associate's Degree (A.A.) preferred.

• OR

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

Licenses/Certifications

• None required

Job: Investment Management

Primary Location: US-FL-St. Petersburg-Saint Petersburg

Organization Raymond James Investment Management

Schedule Full-time

Job Shift Day Job

Travel No

Req ID: 2401549