Working directly with the Raymond James (USA) Ltd. (“RJLU”) Senior Management Team, this individual will support the RJLU Private Client Group (“PCG”) business operations in Canada, acting as the primary point of contact for FINRA-registered Financial Advisors and Sales Associates who manage U.S.-resident client activities. In addition, the individual will be responsible for maintaining a strong working relationship with the carrying firm, Pershing LLC, to ensure optimum support on day-to-day activities and issues as well as integration of future product releases. This role will include assistance with respect to related Projects and Operations initiatives as assigned.
Essential Duties and Responsibilities
- Work closely with internal RJL partners to support the RJLU PCG business: Operations, Compliance, Branch Supervision, Finance, I.T., Marketing, PCG Services, Registrations and other departments as required;
- Assist in the training and support of Financial Advisors and Sales Associates on the use of Pershing’s introducing firm platform and identify and follow up on opportunities for support and training;
- Maintain a high level of partnership and knowledge of Pershing’s resources as a key constituent in the relationship with Pershing. You will also attend Pershing meetings, webinars and conferences as required;
- Assist in all phases of the Pershing Netx360 support process for RJLU registered FAs and Sales Associates;
- Proactively evaluate and seek to improve the support process from best practices and lessons learned and will “own” all issues to full resolution;
- Assist the RJLU CEO, CCO and/or Branch Manager with branch visits and presentations;
- Update and maintain the RJLU PCG content on the RJNet site including FAQs;
- Assist in revisions to the Written Supervisory Procedures and Desktop Procedures for RJLU business activities and responsibilities;
- Participate in and receive cross-training, as well as assist with other operational functions as required; and
- Follow up to ensure resolution and completion of tasks; and
- Other duties as assigned.
Knowledge, Skills, and Abilities
- Fundamental investment concepts, practices, and procedures used in the securities industry.
- Microsoft Office with a willingness and ability to learn new applications;
- Organization, prioritization, and time management; and
- Providing customer service in a calm, courteous and professional manner.
- Work within deadlines in a high-volume and demanding environment while maintaining a high level of service and an imperative attention to detail;
- Demonstrate advanced face-to-face, email, videoconferencing, and telephone etiquette and relationship management skills;
- Work independently as well as collaboratively within a team environment;
- Demonstrate a professional manner to establish and maintain effective working relationships at all levels of the organization;
- Exercise tact and discretion in the handling of confidential information; and
- Communicate proficiently in French is an asset.
Educational/Previous Experience Requirements
- A university degree or equivalent;
- 2 years of financial services brokerage industry experience; and
- Experience as a Sales Associate or Sales Assistant is an asset.
- Willingness and ability to obtain the necessary US (FINRA) licensing exams within a reasonable timeframe.
Raymond James Guiding Behaviours
At Raymond James Ltd, our associates use five guiding behaviours (Develop, Collaborate, Decide, Deliver, and Improve) to deliver on the firm’s core values of client-first, integrity, conservatism and independence.
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
Administrative & Support Services
How to Apply
If you are interested to apply for the position, kindly send your resume and cover letter to email@example.com before February 13, 11:59 PM PT with the following email subject: Raymond James – Business Support Associate.