Qureos Mentor

Raymond James

<div>Job Description Summary
Support the sales teams involving the identification of business opportunities, prospecting, scheduling meetings throughout the sales process. Aim for optimizing the use and control of sales effectiveness, and contributing to maximize business opportunities and leverage sales.
Job Description
Job Summary
Under general direction uses specialized knowledge and skills obtained through education and experience to initiate outbound leads, proactively develop affiliations with advisor and/or financial planning professionals/organizations and to recruit advisors to Raymond James Financial divisions. Extensive contact with internal and external customers is required to establish and maintain relationships that lead to creating new business. Act in a professional sales and marketing capacity to help meet firm goals.
Essential Duties and Responsibilities
<ul><li>Initiates outbound sales calls, including cold calls to advisors and reviving existing warm prospects within their recruiting team.
</li></ul><ul><li>Sources experienced financial advisors and/or financial institutions interested in affiliating with Raymond James to meet specific recruiting goals.
</li></ul><ul><li>Makes referrals based on the consultant&rsquo;s analysis of a best fit business model profiling process including next step exploration.
</li></ul><ul><li>Sets meetings for recruiters/managers.
</li></ul><ul><li>Makes outbound calls to schedule, confirm and or follow-up after meetings have occurred.
</li></ul><ul><li>Through a consultative process with their team and prospective advisor candidates, identifies other business models based on advisor feedback and interest in affiliation options.
</li></ul><ul><li>Cultivates relationships with all recruiting partners.
</li></ul><ul><li>Assists in the development of business development strategies.
</li></ul><ul><li>Performs other duties and responsibilities as assigned.
</li></ul>Knowledge, Skills, and Abilities
Knowledge of
<ul><li>Concepts, practices and procedures of business development in a financial services environment.
</li></ul><ul><li>Investment concepts, practices and procedures used in the securities industry.
</li></ul><ul><li>Principles of finance and securities industry operations.
</li></ul><ul><li>Financial markets and products.
</li></ul>Skill in
<ul><li>Sourcing and developing sales prospects.
</li></ul><ul><li>Developing business development strategies.
</li></ul><ul><li>Maintaining and expanding referral sources.
</li></ul><ul><li>Making outbound sales calls and turning them into sales opportunities.
</li></ul><ul><li>Maintaining relationships with internal and external partners.
</li></ul><ul><li>Effective questioning and listening techniques, coachability, including handling of objections.
</li></ul><ul><li>Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases.
</li></ul>Ability to
<ul><li>Partner with team and other areas of the firm to accomplish objectives.
</li></ul><ul><li>Research, interpret, analyze and apply information about prospects.
</li></ul><ul><li>Organize, prioritize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
</li></ul><ul><li>Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels to accomplish objectives.
</li></ul><ul><li>Work independently as well as collaboratively within a team environment.
</li></ul>Educational/Previous Experience Requirements
Education/Previous Experience
<ul><li>One (1) year experience in business development or sales and/or (5) five years&rsquo; experience in financial services. Bachelor&rsquo;s Degree preferred.
</li></ul><ul><li>OR ~
</li></ul><ul><li>An equivalent combination of experience, education, and/or training approved by Human Resources.
</li></ul>Travel
Travel Required: Minimal, including semi-annual or annual trips to the Home Office in St. Petersburg, FL.
Education
Bachelor&rsquo;s
Work Experience
General Experience - 3 to 6 years
Certifications
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-TG1</div>

Jr. Outbound AdvisorChoice Consultant

<div>Job Description Summary
Under minimal supervision, the Collateral Monitoring Manager will support activities relating to collateral portfolio risk management with the Raymond James Bank (RJB) securities backed lending loan portfolio. Collateral Monitoring Manager will be responsible for day-to-day management of the securities backed loan collateral portfolio monitoring function. The role may serve as a department liaison with the bank business analysts for reporting functions relating to SQL data queries. The role will manage junior staff. The Collateral Monitoring Manager will be responsible for establishing and administering procedures to monitor and mitigate risk for the securities backed collateral portfolio. Perform a variety of tasks requiring evaluation, originality, or ingenuity in making decisions. Serves as RJB subject matter expert for pledged securities collateral. Regular contact with internal clients is required to obtain, clarify, or provide facts and information and/or identify, research, and resolve problems.
<div><div><div><div><div><div><div>Job Description
</div></div></div></div></div></div></div>Essential Duties and Responsibilities
<ul><li>Serves as a subject matter expert and owner of the securities backed loan portfolio risk management and monitoring process
</li><li>Manages and develops junior staff
</li></ul><ul><li>Responsible for monitoring intraday concentrated equities via internal template with Bloomberg or Thompson Reuters for RJB securities backed lending portfolio
</li></ul><ul><li>Ensure accurate completion of daily, weekly, monthly and quarterly reporting functions and appropriate record retention
</li></ul><ul><li>Compile and manipulate portfolio data and create reports used in senior management meetings
</li></ul><ul><li>Review daily collateral calls and may contact branch/FA as needed
</li></ul><ul><li>Oversight of the coding of eligible securities with RJ Operations
</li></ul><ul><li>Provides subject matter expertise and guidance for initiatives related to collateral monitoring
</li></ul><ul><li>Manage the process for loan workouts including demands and terminations
</li></ul><ul><li>Perform UAT testing as appropriate
</li></ul><ul><li>Monitors high risk accounts and responsible for tracking and follow up
</li></ul><ul><li>Responsible for the creation and delivery of compliance and accounting records and reports, as required by senior management and regulatory agencies
</li></ul><ul><li>Handles escalations related to collateral and makes risk-based recommendations
</li></ul><ul><li>Maintains existing policies and procedures
</li><li>Identifies process and policy efficiencies to balance risk management with client/FA experience
</li></ul><ul><li>Performs other duties and responsibilities as assigned
</li></ul><ul><li>Assists with special projects, as required
</li></ul>Knowledge of
<ul><li>Margin regulations including Reg U and Reg T lending practices and liquidation processes
</li></ul><ul><li>Advanced knowledge of general securities industry including both public and private investment products
</li></ul><ul><li>Enterprise securities risk management practices including volume, ratings, bulk holdings (bank and firm), fundamental analysis and common volatility metrics
</li></ul><ul><li>Bloomberg and Thompson Reuters functions and corresponding MS Excel formula syntax
</li></ul><ul><li>Intermediate Excel knowledge and skills including macro creation and experience with VBA
</li><li>Writing and running SQL server queries and compiling large amounts of data
</li><li>Intermediate Tableau knowledge and skills
</li><li>Firm enterprise data management systems and policies
</li></ul><ul><li>Intermediate level concepts, practices and procedures of retail loan processing and documentation
</li></ul><ul><li>Intermediate principles of banking and finance
</li></ul><ul><li>Financial markets and products
</li></ul>Skill in
<ul><li>Data analysis
</li><li>Preparing records and reports
</li></ul><ul><li>Performing routine to moderately complex loan/collateral calculations
</li></ul><ul><li>Operating standard office equipment and using required software applications
</li></ul><ul><li>Reviewing and interpreting loan documentation and terms
</li></ul>Ability to
<ul><li>Analyze securities collateral for eligibility and overrides
</li><li>Review and prepare reporting needed to monitor portfolio risk
</li></ul><ul><li>Interpret and apply policies.
</li></ul><ul><li>Attend to detail while maintaining a big picture orientation.
</li></ul><ul><li>Partner with other functional areas to accomplish objectives
</li></ul><ul><li>Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment
</li></ul><ul><li>Communicate effectively, both orally and in writing
</li></ul><ul><li>Work independently as well as collaboratively within a team environment
</li></ul><ul><li>Handle stressful situations and provide a high level of client service in a calm and professional manner
</li></ul><ul><li>Establish and maintain effective working relationships
</li></ul><div><div><div><div><div><div><div>Education
</div></div></div></div></div></div></div><div><div><div><div><div><div><div>Work Experience
</div></div></div></div></div></div></div>General Experience - More than 15 years
<div><div><div><div><div><div><div>Certifications
</div></div></div></div></div></div></div>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> 
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>#LI-AT1</div>

Director, Collateral Monitoring Manager – RJB, Private Client Banking

<div>Job Description Summary
Under intermittent supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in the securities or banking industry compliance to administer and manage an assigned compliance function. Works within a specified Business Unit to lead major projects, programs, or processes with significant business impact. Influences strategic direction, develops tactical plans, and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalated problems or needs. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze, and resolve complex issues.
Job Description
Essential Duties and Responsibilities
<ul><li>Establishes objectives and develops processes and procedures that adhere to all regulatory requirements.
</li><li>Performs human resources management activities including identifying performance problems, seeking guidance for remedial action, reviewing performance, as well as participating in interviewing and selecting staff.
</li><li>Plans, assigns, monitors, reviews, evaluates, and leads the work of others.
</li><li>Coaches and mentors subordinate, identifies training needs, and recommends appropriate development programs.
</li><li>Works in conjunction with management to develop and implement continuing education and training programs for the department.
</li><li>Effectively communicates and presents risk-related findings to senior leadership, clearly articulating potential impacts and recommended actions.
</li><li>Serves as a leader for surveillance staff.
</li><li>Oversees compliance exception reporting processes and approves corrective actions.
</li><li>Schedules and oversees audit processes, including scheduling, training, and reviewing audit results.
</li><li>Ensures effective coordination within assigned work group and with other work groups.
</li><li>Identifies and recommends solutions to automate and streamline functions that improve the operational efficiency of compliance systems.
</li><li>Serves as a compliance liaison on various committees and projects that represent the department&rsquo;s interest(s).
</li><li>Research regulatory updates to identify linkages, report trends and apply findings.
</li><li>Periodically reports on compliance and operational issues.
</li><li>Balances conflicting resource and priority demands.
</li><li>Performs other duties and responsibilities as assigned.
</li></ul>Knowledge, Skills, and Abilities
Advanced Knowledge of:
<ul><li>Concepts, practices, and procedures of securities industry and/or banking compliance reviews.
</li><li>Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies.
</li><li>Fundamental investment concepts, practices and procedures used in the securities industry.
</li><li>Principles of banking and finance and securities industry operations.
</li><li>Financial markets and products.
</li></ul>Advanced Skill in:
<ul><li>Leading meetings with senior leaders and stakeholders.
</li><li>Preparing oral and/or written reports for executive leaders.
</li><li>Prioritizing, planning and scheduling work to meet regulatory organizational and regulatory requirements.
</li><li>Identifying and applying appropriate compliance oversight procedures and tests.
</li><li>Investigating compliances issues and irregularities.
</li><li>Making rule-based and analytical decisions.
</li><li>Operating standard office equipment and using required software applications.
</li></ul>Ability to:
<ul><li>Manage, coach and mentor others.
</li><li>Partner with other functional areas to accomplish objectives.
</li><li>Demonstrate the capability to facilitate productive team discussions and guide collaborative decision-making
</li><li>Adjust to and effectively utilize web-based tools such as SharePoint, Smartsheet and Qlik dashboards.
</li><li>Attend to detail while maintaining a big picture orientation.
</li><li>Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
</li><li>Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.
</li><li>Work independently as well as collaboratively within a team environment.
</li><li>Establish and maintain effective working relationships at all levels of the organization.
</li><li>Maintain confidentiality.
</li><li>Maintain currency in laws, rules and regulations related to compliance in assigned functional area.
</li><li>Interpret and apply policies and identify and recommend changes as appropriate.
</li><li>Quantitatively and/or qualitatively process data.
</li><li>Formulate and implement department strategies consistent with long-term company goals.
</li></ul>Educational/Previous Experience Requirements
<ul><li>Bachelor&rsquo;s Degree (B.A./B.S.) in a related discipline and a minimum of eight (8) years of experience in the financial services industry, compliance, or risk management.
</li></ul>~or~
<ul><li>Any equivalent combination of experience, education, and/or training approved by Human Resources.
</li></ul>Licenses/Certifications
<ul><li>None Required.
</li><li>Series 7, 9/10 or 24 license preferred
</li><li>Additional licenses/certifications demonstrating the candidate&rsquo;s knowledge/expertise in industry regulation and concepts preferred.
</li></ul>Education
Work Experience
Certifications
Travel
Less than 25%
Workstyle
Hybrid
<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>

Compliance Oversight Senior Manager

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

Jr. Outbound AdvisorChoice Consultant

Director, Collateral Monitoring Manager – RJB, Private Client Banking

Compliance Oversight Senior Manager