Sales & Trading Assistant (REG or NR)

Job Description Summary

(Open to both registered and non-registered candidates)

Under limited supervision, uses specialized knowledge and skills in securities trading/sales obtained through training, certification and experience to assist trading and/or sales personnel in processing trades and communicating with clients and back office operations. May place orders on behalf of broker. Guidance is provided to perform varied work of substantial variety and complexity, requiring evaluation, originality and ingenuity in making moderately complex decisions. Recommends solutions to complex problems. Extensive contact with internal and external customers is required to obtain, clarify or provide facts and information.

Job Description

Essential Duties and Responsibilities

• Tracks and confirms transactions to ensure accuracy.

• Prepares management reports, as required.

• Advises others in resolving complex problems and issues.

• Maintains and updates account files.

• Performs administrative tasks, including faxing, filing and copying.

• Serves as liaison between client and sales and/or trading personnel.

• Maintains currency in organizational and industry current events and best practices.

• Plans, organizes and maintains effective and efficient workflow.

• Accesses, interprets and applies market and client information; prioritizes flow of information; and communicates to appropriate personnel.

• Initiates client transaction related communication to support sales and/or trading activities.

• Executes trades, as required.

• Participates in face to face client meetings.

• Assists in compliance review process.

• Operates standard office equipment and uses required software applications.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of

• Commonly used securities industry practices and procedures.

• Concepts, principles and practices of securities trading/sales.

• Procedures for processing trades.

• Market levels, including accuracy of bids and offerings.

Skill in

• Responding professionally to inquiries and researching and resolving problems in a timely manner.

• Performing qualitative and quantitative data analysis.

• Analyzing problems and developing creative solutions.

• Attending to detail while ensuring quality standards are met without impacting workflow.

• Developing and maintaining effective workflow processes.

• Selecting and using a variety of technical tools such as Bloomberg, Miter, Account Assignment Story Bond and MuniRecap.

• Identifying different types of market data, determining time sensitivity and delivering within appropriate time frames.

• Using standard office equipment and required software applications for electronic communication, spreadsheets and databases.

Ability to

• Communicate effectively, both orally and in writing

• Provide a high level of customer service, including demonstrating sensitivity to customer needs and responding proactively.

• Identify pertinent information and determine the potential impact on decisions and actions of the assigned functional area.

• Use independent judgment in making decisions.

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

• Organize and prioritize multiple tasks and meet deadlines.

• Establish and maintain effective working relationships with others.

Educational/Previous Experience Requirements

Education/Previous Experience

• Bachelor’s Degree (B.A.) with a minimum of three (3) years of experience in a sales or trading role within the securities or financial services industry.

• OR ~

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

Licenses/Certifications

• SIE required provided that an exemption or grandfathering cannot be applied.

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

Education

Bachelor’s (Required)

Work Experience

General Experience - 13 months to 3 years

Certifications

Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Salary Range

$62,353.20-$80,000.00

Travel

Less than 25%

Workstyle

Resident

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

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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