Analyst, Executive Consultant

Raymond James • Saint Petersburg, FL

7d • Hybrid

About The Position

This home-office Executive & Stock Plan Solutions analyst performs many functions equivalent to those of a traditional retail branch advisor, excluding the provision of advice. The analyst interacts daily with internal business partners and external clients. Under general supervision, the role uses knowledge and skills gained through education and experience to gather data and support operational and trading activities related to Rule 10b5-1 stock trading plans and corporate clients’ equity plans. The position follows established procedures for routine tasks of basic to intermediate complexity and receives guidance for non-routine work. Supervision is provided for varied complex activities requiring specific evaluation.

The position supports client account administration and securities transactions, including processing unsolicited trade orders, monitoring securities receipt and trade processing, confirming trades, and resolving trading issues. It also maintains client information, keeps current with trading policies and regulatory changes, and works with internal and external customers to address operational needs.

The role requires a related bachelor’s degree or an equivalent combination of experience, education, and/or training approved by Human Resources. Finance, General Business, or Economics is strongly preferred. Three years of relevant experience is preferred. Required licenses include the Securities Industry Essentials (SIE) and Series 7 from the date of hire, Series 66 within five months of hire, and Series 57 within six months of hire. The workstyle is hybrid, and travel is less than 25%.

Requirements

• Bachelor’s degree in a related discipline, or an equivalent combination of experience, education, and/or training approved by Human Resources.
• Securities Industry Essentials (SIE) and Series 7 required from the date of hire.
• Series 66 required within five months of hire.
• Series 57 required within six months of hire.
• Knowledge of industry regulations related to trading activities.
• Knowledge of securities trading concepts, practices, and procedures.
• Knowledge of Operations, Money Movement, and New Accounts systems.
• Knowledge of basic investment concepts, practices, and procedures used in the securities industry.
• Proficiency with FactSet, Excel, Access, Smartsheet, Word, and other applications as needed.
• Ability to identify and resolve operational issues and recommend efficiency or effectiveness improvements.
• Numerical aptitude and critical thinking sufficient to solve operational problems.
• Ability to identify customer needs through effective questioning and listening.
• Verbal and written communication skills sufficient to interact with associates at all organizational levels, clients, Financial Advisors, and Branch personnel.
• Ability to perform detailed transactional tasks efficiently and flexibly in a fast-paced environment with frequent interruptions and changing priorities.
• Ability to analyze operational processes and identify opportunities for improvement.
• Ability to participate in on-the-job training and other learning activities to develop knowledge of FINRA, state, and other regulatory agency rules and regulations regarding client accounts.
• Ability to cultivate and maintain effective working relationships.

Nice To Haves

• Three years of relevant experience preferred.
• A degree in Finance, General Business, or Economics is very strongly preferred.

Responsibilities

• Facilitate the opening and maintenance of client accounts.
• Assist with setting up Client Access, if needed, for preferred third-party plan administrators.
• Ensure required client paperwork is current with firm and industry requirements, rules, and regulations.
• Process and follow up on client documentation for proper account maintenance and securities transactions.
• Provide operational support to clients handling basic requests.
• Receive and process unsolicited trade orders from clients or Financial Advisors.
• Monitor the receipt and processing of securities to complete transactions.
• Manually facilitate trade order processing when required.
• Ensure trades are executed and confirmed in accordance with regulatory and organizational policies and procedures.
• Facilitate the price adjustment and trade correction process.
• Confirm trades and research and resolve unconfirmed trades; contact internal and external customers to resolve trading problems.
• Maintain currency in trading policies, procedures, and regulatory changes.
• Monitor client information and restrictions.
• Build and maintain professional relationships with internal and external clients.
• Update and maintain data and information in required databases.
• Support and comply with established policies and procedures; recommend suggestions to improve workflows, policies, and procedures when appropriate.
• Organize and prioritize workload to meet deadlines, multitask while handling phones and time-sensitive client requests, and provide courteous, timely service.

Benefits

• Medical, dental, and vision coverage may be included in the benefits package.
• Life insurance may be included in the benefits package.
• Critical illness insurance and accident insurance may be included in the benefits package.
• Disability benefits may be included in the benefits package.
• Retirement savings may be included in the benefits package.
• Paid time off, including vacation, holidays, and sick leave, may be included in the benefits package.
• Parental leave may be included in the benefits package.
• Additional compensation may include cash or equity, discretionary bonuses, or commissions.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level