Qureos Mentor

Raymond James

<div>Job Description Summary
Manages supervision oversight, ensuring adherence to firm and regulatory policies and procedures. Monitors day-to-day activities of financial advisors and registered sales assistants to ensure compliance with internal policies and procedures, and external regulations. Oversight activities include but are not limited to trade review, FINRA rule 3010 email review, advertising review, FA/client operational troubleshooting, new account and application review, annuity review, securities receipts review, cash deposit review, and outgoing/LOAs review. Responsible for ensuring any identified policy violations or branch deficiencies are addressed with the branch and fully remediated. Travel to branch locations to perform required annual Branch Manager Supervisory Visits. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with some latitude for un-reviewed actions or decisions. Uses extensive knowledge and skills obtained through education and experience to identify, research, analyze and resolve complex issues. Serves as the face of the organization and advocate for the branches they oversee.
Job Description
Essential Duties and Responsibilities
<ul><li>Responsible for supervision oversight and ensuring adherence to firm and regulatory policies and procedures.
</li><li>Perform reviews of client accounts and documents submitted by the branch.
</li><li>Educates branch staff associates.
</li><li>Escalates concerns to senior management and may propose new policies or procedures regarding risk, adhering to compliance and operational risk controls in accordance with company and regulatory standards.
</li></ul><ul><li>Review and analyze monitoring reports and systems for suspicious/unusual patterns and follow-up with appropriate individual(s) for explanations and actions.
</li><li>Coordinates registrations, continuing education, licensing, etc. of branch personnel.
</li><li>Oversees branch activities.
</li><li>Interfaces with specific business platform sales management associates to inform them of any supervisory concerns that may arise with branch offices and work together with them to address and resolve these concerns.
</li><li>Implements and enforces policies and procedures for all business platform branch office locations not currently staffed with a licensed and qualified branch manager by serving as the designated manager or branch manager delegate of these OSJ locations.
</li><li>Monitors and keeps up to date with securities/advisory regulations and applies them accordingly.
</li><li>Interprets, applies and recommends changes to organizational policies and procedures while adhering to compliance and operational risk controls in accordance with company and regulatory standards.
</li><li>Handles all administrative matters in the hiring/termination of FA and their transition in and out of the branches.
</li><li>Monitors Supervisory Center alerts and handles any necessary follow-up.
</li><li>Researches and resolves complex problems relating to clients&rsquo; accounts and inquiries.
</li><li>Identify needs of the team and find solutions to complex issues
</li><li>Communicates with the field regarding regulatory rules and firm policy changes.
</li><li>Serve as the face of the organization and advocate for the branches we oversee.
</li><li>Ensure any identified policy violations or branch deficiencies are addressed with the branch and fully remediated.
</li><li>Travel to branch locations to perform required annual Branch Manager Supervisory Visits.
</li><li>Performs other duties and responsibilities as assigned.
</li></ul>Knowledge, Skills, and Abilities
Knowledge of
<ul><li>Company policies and procedures and industry rules and regulations.
</li></ul><ul><li>Investment concepts, practices and procedures used in the securities industry, financial markets and financial products.
</li></ul>Skill in
<ul><li>Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
</li><li>Preparing and delivering clear, effective, and professional presentations.
</li><li>Identifying the needs of customers through effective questioning and listening techniques.
</li><li>Handling stressful situations and leading others in providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.
</li><li>Projecting a professional and pleasant appearance and demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.
</li><li>Employing good analytical skills to be able to research and resolve problems.
</li><li>Establishing and communicating clear directions and priorities.
</li><li>Utilizing good interpersonal and verbal and written communication skills to deal with clients, financial advisors, support staff and home office personnel.
</li><li>Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.
</li><li>Effectively organizing, managing, tracking and completing multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
</li><li>Working independently, under minimal supervision.
</li></ul>Ability to
<ul><li>Handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.
</li><li>Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.
</li><li>Project a professional and pleasant appearance and demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.
</li><li>Travel extensively to perform required branch visits.
</li></ul>Educational/Previous Experience Requirements
Education/Previous Experience
<ul><li>Bachelor&rsquo;s degree (B.A.) from four-year college or university, and a minimum of six (6) years&rsquo; experience in a financial services firm / supervision
</li></ul><ul><li>~OR~
</li></ul><ul><li>An equivalent combination of experience, education, and/or training as approved by Human Resources.
</li></ul>Licenses/Certifications
<ul><li>SIE required provided that an exemption or grandfathering cannot be applied
</li><li>Series 7, 9/10 or 24, 66 or 63/65 required
</li><li>Series 53, Life, Health and Variable Annuity Licenses preferred
</li></ul>Education
Work Experience
Certifications
Salary Range
$100,000.00-$0.00
Travel
Less than 25%
Workstyle
Remote
<div>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:
 
<ul><li>Grow professionally and inspire others to do the same
</li><li>Work with and through others to achieve desired outcomes
</li><li>Make prompt, pragmatic choices and act with the client in mind
</li><li>Take ownership and hold themselves and others accountable for delivering results that matter
</li><li>Contribute to the continuous evolution of the firm
</li></ul></div>At Raymond James &ndash; 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.
#LI-AF1</div>

Supervision Manager, Supervisory Solutions

<div>Job Description Summary
Supports Financial advisors and their prospective and existing clients and other branch staff team members. Demonstrates effective communication skills across multiple platforms (phone, email, in-person, virtual), as well as the ability to organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment.
Job Description
Job Summary
 
Celebrating more than 60 years of rich history and recognition for service and excellence in the Financial Services industry, Raymond James is seeking a dynamic Registered Client Service Associate who is a motivated, detail oriented and creative problem solver to join our growing team. This essential role helps to provide high quality/high touch critical administrative support to Financial Advisors, their prospective and existing clients and other branch staff team members. The ideal candidate will have effective communication skills across multiple platforms (phone, email, in-person, virtual), as well as the ability to organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment. Come grow with us and see where a career at Raymond James could take you!
Responsibilities:
<ul><li>Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes and scheduling of meetings, with prospective and existing clients on the phone, in-person, virtually and through mailings.
</li><li>Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office.
</li><li>Onboards new clients, opens new client accounts and researches client and security information using internal databases and other technologies.
</li><li>Ensures key client information and documentation is current with firm and industry requirements, rules and regulations.
</li><li>Processes and monitors the transfer of assets to ensure all assets and cost basis were successfully received.
</li><li>Monitors available cash awaiting investment, including running weekly cash and cash equivalent reports and contacting clients with investment opportunities to maximize returns.
</li><li>Reviews, assesses and responds to all corporate action items and client account alerts.
</li><li>Prepares financial reports, spreadsheets and other materials for client meetings.
</li><li>Inputs orders and rebalances portfolios on behalf of the Financial Advisors.
</li><li>Creates and maintains records and files utilizing Client Relationship Management (CRM) software.
</li><li>Assists Financial Advisors with marketing efforts including seminars and other client-facing events.
</li><li>Actively engages in available training/cross-training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures.
</li><li>Performs other duties and responsibilities as assigned.
</li></ul>Skills:
<ul><li>Company&rsquo;s working structure, policies, mission, and strategies.
</li><li>Managed account platforms.
</li><li>General office practices, procedures, and methods.
</li><li>Investment concepts, practices and procedures used in the securities industry.
</li><li>Financial markets, products and industry regulations.
</li><li>Trading terminology.
</li><li>Client Relationship Management (CRM) software, or similar contact management software.
</li><li>Goal planning software.
</li><li>Excel, including developing spreadsheets as needed and for ongoing reporting.
</li><li>Effective communication across multiple client interactive platforms (in-person, virtual, phone and mail)
</li><li>Operate standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
</li><li>Analyze and research account information.
</li><li>Organize, manage, and track multiple, detailed tasks and assignments with. frequently changing priorities and deadlines in a fast-paced, task-oriented work environment.
</li><li>Identify time sensitive items and assess competing priorities.
</li><li>Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns.
</li><li>Handle stressful situations and provide a high level of customer service in a calm and professional manner.
</li><li>Analyze problems and establish solutions in a fast paced environment.
</li><li>Use mathematics sufficient to process account and transaction information.
</li><li>Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels, in person and virtually.
</li><li>Work both independently and as part of a cohesive team.
</li><li>Provide a high level of customer service.
</li></ul>Education/Previous Experience
<ul><li>High School Diploma or equivalent and one (1) or more years securities industry or related work experience preferred, or an equivalent combination of experience, education, and/or training as approved by Human Resources.
</li></ul>Licenses/Certifications
<ul><li>SIE required provided that an exemption or grandfathering cannot be applied.
</li><li>Series 7 required.
</li><li>Series 63, 65 and/or 66 as required by state.
</li></ul>Education
High School (HS) (Required)
Work Experience
General Experience - 7 to 12 months
Certifications
s66 - Uniform Combined State Law Examination - Financial Industry Regulatory Authority (FINRA), s7 - General Securities Representative Examination - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)
Travel
Less than 25%
Workstyle
Resident
<div>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:
 
<ul><li>Grow professionally and inspire others to do the same
</li><li>Work with and through others to achieve desired outcomes
</li><li>Make prompt, pragmatic choices and act with the client in mind
</li><li>Take ownership and hold themselves and others accountable for delivering results that matter
</li><li>Contribute to the continuous evolution of the firm
</li></ul></div>At Raymond James &ndash; 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.</div>

Registered Client Service Associate

<div>
 
 Job Description Summary
 
 
 
 Contacts assigned customer accounts or prospects to sell company products within a designated geography or industry. Focuses on meeting personal sales targets, new business development, maintaining customer relationships, and troubleshooting specific customer problems. Has a solid knowledge of products, their characteristics, and market. Typically requires a good general education, excellent interpersonal skills and sales experience.
 
 
 
 Job Description
 
 
 
 <ul>
 <li>
 Under general direction with a high level of autonomy, represents the Raymond James Structured Investments Platform (RJ SI Platform) externally to create new and manage existing relationships with Raymond James financial advisors with the ultimate objective of driving departmental sales and increasing overall utilization throughout a given territory. Applies deep product and market expertise, gained through education and experience, to provide financial advisors and their clients with clear, balanced, and insightful guidance. Responsible for developing, coordinating, and executing initiatives to provide high-touch, face-to-face advisor support to consistent users, dabblers, and new or non-users in a specific territory. Represents the RJ SI Platform at firm or department conferences. Develops tactical plans and completes complex assignments with substantial latitude for unreviewed actions or decisions. Leads projects, programs, or processes with significant business impact involving cross-functional teams. Provides comprehensive solutions to complex problems or needs. End results are measured and evaluated for achieving performance goals and objectives. Extensive contact with financial advisors and their end-clients is required to achieve departmental sales goals and increase advisor utilization.
 
 
 </li>
 </ul>
 This person will be covering the Central Region, which includes the following states: IA,IL,IN,KS,MI,MN,MO,NE,ND,SD,WI
 
 
 <ul>
 <li>
 Essential Duties and Responsibilities
 </li>
 <li>
 Demonstrates a commitment to Raymond James&rsquo; core values &ndash; namely putting the interests of clients first.
 </li>
 <li>
 Provide balanced education on all products on the RJ SI Platform in a manner designed to drive sales but also consistent with the conservative nature of the firm.
 </li>
 <li>
 Provides face-to-face support in a specific territory to financial advisors and their clients through individual or group meetings, branch visits, zoom meetings, etc. Also represents the RJ SI Platform at firm and department conferences.
 </li>
 <li>
 Leads efforts in all aspects of the sales process, and develops and implements a business plan within a specific territory.
 </li>
 <li>
 Responsible for building and maintaining relationships with financial advisors to drive department sales objectives and to increase financial advisor utilization within a specific territory.
 </li>
 <li>
 Works closely with other consultant team members to meet sales goals by identifying and fostering leads generated from referrals, marketing campaigns, and territory canvassing.
 </li>
 <li>
 Delivers effective presentations to large audiences.
 </li>
 <li>
 Meets specific objectives related to in-person financial advisor interaction as communicated from management.
 </li>
 <li>
 Maintains activity logs and/or databases to create and maintain financial advisor profiles and data.
 </li>
 <li>
 Manages expenses within allotted budget.
 </li>
 <li>
 Collaborates with RJ SI product management, platform management, and custom solutions teams to contribute to department wide initiatives, support platform evolution, and provide feedback from financial advisors and their clients.
 </li>
 <li>
 Organizes, manages, and executes on objectives with minimal oversight, strong attention to detail, a high level of professionalism, and with appropriate timeliness.
 </li>
 <li>
 Performs other duties and responsibilities as assigned.
 
 
 </li>
 </ul>
 
 Qualifications
 
 
 
 
 Knowledge, Skills, and Abilities
 
 
 Knowledge of
 
 
 
 <ul>
 <li>
 Advanced knowledge of the Structured Investments industry.
 </li>
 <li>
 Principles of banking, finance, and securities industry operations.
 </li>
 <li>
 Financial markets, products, financial advisory function, and investment process.
 </li>
 <li>
 Advanced investment concepts, practices, and procedures used in the industry.
 </li>
 <li>
 MS Office Applications.
 
 
 </li>
 </ul>
 
 Skill in
 
 
 
 <ul>
 <li>
 Cultivating and maintaining effective relationships at all levels of the organization.
 </li>
 <li>
 Excellent verbal and written communication skills.
 </li>
 <li>
 Identifying the needs of customers through effective questioning and listening techniques.
 </li>
 <li>
 Preparing and delivering clear, convincing, and professional sales presentations to small and large audiences.
 </li>
 <li>
 Organizing, managing, and tracking multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.
 </li>
 <li>
 Critical thinking and problem solving sufficient to effectively analyze, research, and resolve inquiries and issues in a timely manner.
 </li>
 <li>
 Analyzing business processes and identifying process improvement opportunities.
 </li>
 <li>
 Detail orientation to ensure quality standards are met without impairing workflow.
 </li>
 <li>
 Follow-up to ensure resolution and completion of tasks.
 </li>
 <li>
 Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, and spreadsheets.
 
 
 </li>
 </ul>
 
 Ability to
 
 
 
 <ul>
 <li>
 Represent the company in a highly professional manner
 </li>
 <li>
 Demonstrate uncompromising adherence to ethical principles.
 </li>
 <li>
 Organize, prioritize, and manage tasks and projects to complete work efficiently.
 </li>
 <li>
 Provide a high level of customer service, and address and resolve escalated advisor and client issues.
 </li>
 <li>
 Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives and convince others to accept ideas or goals.
 </li>
 <li>
 Develop and maintain effective working relationships with team members, internal partners, and external parties, and promote internal team cohesiveness, cooperation, and effectiveness.
 </li>
 <li>
 Partner with other functional areas to accomplish objectives.
 </li>
 <li>
 Assimilate and prioritize strategies into operational guidelines.
 </li>
 <li>
 Work independently as well as collaboratively within a team environment.
 </li>
 <li>
 Establish clear directions and priorities.
 </li>
 <li>
 Effectively address concerns or challenging questions when they arise.
 </li>
 <li>
 Effectively support the RJ SI Platform and show resilience through prospecting process.
 </li>
 <li>
 Demonstrate high self-confidence.
 </li>
 <li>
 Excel in a team environment.
 
 
 </li>
 </ul>
 
 Educational/Previous Experience Requirements
 
 
 
 <ul>
 <li>
 Bachelor&rsquo;s Degree (B.A.) in business, finance, or a related discipline and a minimum of eight (8) years&rsquo; experience in the financial services industry.
 </li>
 <li>
 ~ OR ~
 </li>
 <li>
 Any equivalent combination of experience, education, and/or training as approved by Human Resources.
 
 
 </li>
 </ul>
 
 Licenses/Certifications
 
 
 
 <ul>
 <li>
 Required: FINRA Series 7, Series 66 or 63/65, SIE (provided that an exemption or grandfathering cannot be applied) or ability to obtain within 90 days.
 </li>
 <li>
 Preferred: CAIA, CFP, CFA, CIMA, or MBA
 
 
 </li>
 </ul>
 
 Travel Requirements
 
 
 
 50-75%
 
 
 
 Education
 
 
 
 High School (HS)
 
 
 
 Work Experience
 
 
 
 General Experience - 6 to 10 years
 
 
 
 Certifications
 
 
 
 Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)
 
 
 
 Salary Range
 
 
 
 $35,568.00-$300,000.00
 
 
 
 Travel
 
 
 
 Up to 75%
 
 
 
 Workstyle
 
 
 
 Remote
 
 
 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
 
 
 
 <ul>
 <li>
 Grow professionally and inspire others to do the same
 </li>
 <li>
 Work with and through others to achieve desired outcomes
 </li>
 <li>
 Make prompt, pragmatic choices and act with the client in mind
 </li>
 <li>
 Take ownership and hold themselves and others accountable for delivering results that matter
 </li>
 <li>
 Contribute to the continuous evolution of the firm
 
 
 </li>
 </ul>
 At Raymond James &ndash; 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.
 
 
</div>

Regional Director, Structured Investments Consultant (Central Region)

Join Raymond James and explore 3   exciting career opportunities. They're hiring for various roles with options for remote or on-site work. Apply today and become part of their innovative team.

Raymond James

ABOUT_COMPANY

Supervision Manager, Supervisory Solutions

Registered Client Service Associate

Regional Director, Structured Investments Consultant (Central Region)