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Form of workJob Summary:
Under limited supervision, uses extensive knowledge and skills obtained through education and experience to administer Financial Advisor designations. Coordinates with other functions to handle certification and designation approvals for Financial Advisors. Leads large or multiple projects with significant scope and impact. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with latitude for un-reviewed actions or decisions. Maintains extensive contact with internal departments to identify, research, analyze, and review Financial Advisor designations. Has extensive contact with outside vendor companies and maintains knowledge of their products and services to provide additional designation opportunities.
Essential Duties and Responsibilities:
• Oversee certification and designation process with other functions (e.g. Compliance, Supervision, Finance, etc.)
• Establishes and makes recommendations to senior management on criteria surrounding event participation.
• Research and assess new types of Financial Advisor designations and work with Supervision to assess new requests.
• Provide recommendation and coordinate the review and approval of designations prior to being made available to Financial Advisors.
• Partner with PCG and Finance to determine competency points.
• Manage vendor relationships and function as a liaison between vendors and Financial Advisors.
• Point of contact for Financial Advisor designation questions including which designations to pursue, and why.
• Verify Financial Advisor Designations and Continuing Education (CE) requirements (e.g. CPWA, CEPA, RICP, etc).
• Serve on Designation Boards.
• Partner with technical experts throughout the firm to provide more in-depth conversations regarding Advisor designations. .
• Proactively develop and expand upon Advisor designation programs for the firm.
• Collaborate with partners throughout the firm to streamline the designation process and tracking.
• Performs other duties and responsibilities as assigned.
Qualifications:
Knowledge, Skills, and Abilities:
Knowledge of:
• Company's working structure, policies, mission, strategies, and compliance guidelines.
• Investment concepts, practices and procedures used in the securities industry.
• Principles of banking and finance and securities industry operations.
• Financial markets and products.
• Financial advisor designation
Skill in:
• Preparing and delivering clear, effective, and professional presentations.
• Identifying the needs of customers through effective questioning and listening techniques.
• Follow-up to ensure resolution and completion of tasks.
• Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases.
Ability to:
• Be proactive and demonstrate readiness and ability to initiate action.
• Maintain confidentiality of information both inside and outside of the organization.
• Organize, prioritize, manage, and complete multiple projects and tasks concurrently, in a fast-paced environment with frequently changing priorities and constant interruptions, including those delegated, to complete work efficiently.
• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with internal and external clients at all organizational levels, and with all levels of expertise in the securities industry, to accomplish objectives.
• Work independently as well as collaboratively within a team environment to resolve problems.
• Use independent judgment to make decisions.
• Stay abreast of developments in the field, both inside and outside of the organization.
Educational/Previous Experience Recommendations:
• Bachelor's degree (B. A.) or equivalent in a related discipline and four (4) years of experience in the financial services industry with specific exposure to financial advisor duties and challenges preferred.
~or~
• Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications:
• SIE required provided that an exemption or grandfathering cannot be applied
• Series 7 or ability to obtain within 6 months.
• CFP, CIMA, or CPWA preferred
Raymond James Guiding Behaviors
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 outcome
• 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
Under limited supervision, uses extensive knowledge and skills obtained through education and experience to administer Financial Advisor designations. Coordinates with other functions to handle certification and designation approvals for Financial Advisors. Leads large or multiple projects with significant scope and impact. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with latitude for un-reviewed actions or decisions. Maintains extensive contact with internal departments to identify, research, analyze, and review Financial Advisor designations. Has extensive contact with outside vendor companies and maintains knowledge of their products and services to provide additional designation opportunities.
Essential Duties and Responsibilities:
• Oversee certification and designation process with other functions (e.g. Compliance, Supervision, Finance, etc.)
• Establishes and makes recommendations to senior management on criteria surrounding event participation.
• Research and assess new types of Financial Advisor designations and work with Supervision to assess new requests.
• Provide recommendation and coordinate the review and approval of designations prior to being made available to Financial Advisors.
• Partner with PCG and Finance to determine competency points.
• Manage vendor relationships and function as a liaison between vendors and Financial Advisors.
• Point of contact for Financial Advisor designation questions including which designations to pursue, and why.
• Verify Financial Advisor Designations and Continuing Education (CE) requirements (e.g. CPWA, CEPA, RICP, etc).
• Serve on Designation Boards.
• Partner with technical experts throughout the firm to provide more in-depth conversations regarding Advisor designations. .
• Proactively develop and expand upon Advisor designation programs for the firm.
• Collaborate with partners throughout the firm to streamline the designation process and tracking.
• Performs other duties and responsibilities as assigned.
Qualifications:
Knowledge, Skills, and Abilities:
Knowledge of:
• Company's working structure, policies, mission, strategies, and compliance guidelines.
• Investment concepts, practices and procedures used in the securities industry.
• Principles of banking and finance and securities industry operations.
• Financial markets and products.
• Financial advisor designation
Skill in:
• Preparing and delivering clear, effective, and professional presentations.
• Identifying the needs of customers through effective questioning and listening techniques.
• Follow-up to ensure resolution and completion of tasks.
• Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases.
Ability to:
• Be proactive and demonstrate readiness and ability to initiate action.
• Maintain confidentiality of information both inside and outside of the organization.
• Organize, prioritize, manage, and complete multiple projects and tasks concurrently, in a fast-paced environment with frequently changing priorities and constant interruptions, including those delegated, to complete work efficiently.
• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with internal and external clients at all organizational levels, and with all levels of expertise in the securities industry, to accomplish objectives.
• Work independently as well as collaboratively within a team environment to resolve problems.
• Use independent judgment to make decisions.
• Stay abreast of developments in the field, both inside and outside of the organization.
Educational/Previous Experience Recommendations:
• Bachelor's degree (B. A.) or equivalent in a related discipline and four (4) years of experience in the financial services industry with specific exposure to financial advisor duties and challenges preferred.
~or~
• Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications:
• SIE required provided that an exemption or grandfathering cannot be applied
• Series 7 or ability to obtain within 6 months.
• CFP, CIMA, or CPWA preferred
Raymond James Guiding Behaviors
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 outcome
• 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
