Fixed Income Operations Advisor

Raymond James•Memphis, TN

4d•Onsite

About The Position

Under direct supervision, this role acquires and tracks documentation for account opening, ensuring it meets regulatory requirements. It involves assisting with special projects for FICM Sales Management, resolving client inquiries, and communicating effectively with internal and external parties. Administrative duties include scheduling meetings, coordinating logistics, processing invoices, and other assigned tasks.

Requirements

Fundamental concepts, principles, and process of Fixed Income regulatory requirements and needs.
Investment concepts, practices and procedures used in the securities industry.
Principles of banking and finance operations.
Operations and systems in assigned functional area.
Financial markets and products.
Organization skills.
Attention to detail.
Ability to interpret and apply policies and procedures.
Ability to implement processes and procedures for efficient and timely workflow.
Ability to prepare management reports.
Proven ability to build strong relationships with stakeholders, learn quickly, be flexible and think strategically.
Ability to operate standard office equipment and use required software applications.
Ability to use analytical and critical thinking skills in reading, interpreting, analyzing and applying information from legal documentation and references.
Ability to balance conflicting resource and priority demands.
Ability to maintain currency in assigned area of responsibility.
Ability to partner with other functional areas to accomplish objectives.
Ability to perform a variety of operations procedures within Fixed Income.
Ability to read, interpret, analyze and apply information from job-related publications.
Ability to organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.
Ability to communicate effectively, both orally and in writing.
Ability to work independently as well as collaboratively within a team environment.
Ability to establish and maintain effective working relationships at all levels of the organization.
Bachelor’s Degree in Business Administration or other discipline related to assigned functional area and a minimum of two (2) to five (5) years’ experience in assigned function, OR An equivalent combination of education, training or experience.
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.

Nice To Haves

Paralegal certification preferred but not required.
Series 24 preferred but not required.

Responsibilities

Assist in creating, enhancing, and maintaining the infrastructure to support business operations within Fixed Income Capital Markets.
Stay up to date with evolving regulatory changes and market events impacting the business.
Interpret and apply organizational policies and procedures.
Coordinate the preparation of special analyses and information reports for management.
Participate in establishing objectives and developing processes and procedures to ensure efficient and timely workflow.
Perform periodic reporting on work progress, project completions, and additional ad-hoc reporting as needed.
Balance conflicting resource and priority demands.
Operate standard office equipment and use required software applications.
Perform other duties and responsibilities as assigned.