Fixed Income Operations Advisor

Raymond James • Memphis, TN

1d

About The Position

Under direct supervision, uses knowledge and skills obtained through experience and training to acquire and track documentation for account opening, as well as review the documentation and ensure that it meets all of the necessary requirements based on regulations. Assists in special projects as needed by FICM Sales Management. Assist in resolving questions and problems, reports new or unusual issues to a higher level, and communicates effectively with internal or external clients to obtain, clarify, or provide facts and information. Additionally helps with administrative duties such as scheduling meetings, coordinate meeting logistics, processing invoices and performs other duties required.

Requirements

• Knowledge of Fundamental concepts, principles, and process of Fixed Income regulatory requirements and needs.
• Knowledge of Investment concepts, practices and procedures used in the securities industry.
• Knowledge of Principles of banking and finance operations.
• Knowledge of Operations and systems in assigned functional area.
• Knowledge of Financial markets and products.
• Skill in Organization
• Skill in Attention to detail
• Skill in Interpreting and applying policies and procedures.
• Skill in Implementing processes and procedures for efficient and timely workflow.
• Skill in Preparing management reports.
• Skill in Proven ability to build strong relationships with stakeholders, learn quickly, be flexible and think strategically.
• Skill in Operating standard office equipment and using 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 Performs 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.
• Stays up to date with evolving regulatory changes and market events impacting the business
• Interprets and applies organizational policies and procedures.
• Coordinates the preparation of special analyses and information reports for management
• Participates in establishing objectives and developing processes and procedures to ensure efficient and timely workflow.
• Performs periodic reporting on work progress, project completions and additional ad-hoc reporting as needed.
• Balances conflicting resource and priority demands.
• Operates standard office equipment and uses required software applications.
• Performs other duties and responsibilities as assigned.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Number of Employees: 5,001-10,000 employees