Sr. Associate, Registrations

Raymond James • Saint Petersburg, FL

3d • Hybrid

About The Position

Under direct supervision, uses specialized skills and knowledge gained through experience and training to administer the initial registration process for candidates. Follows established procedures to perform a variety of tasks requiring some evaluation, originality, or ingenuity in making routine decisions. Serves as a resource to resolve registrations and licensing related issues. Maintains regular contact with potential candidates to obtain, clarify and/or provide required information in order to complete the registration/affiliation process.

Requirements

• Knowledge of: Concepts, principles, and practices of individual securities and advisory registrations and examination requirements.
• Rules and regulations of the SEC, FINRA, and states/jurisdictions
• Investment concepts, practices and procedures used in the securities industry.
• Principles of securities industry operations.
• Financial markets and products.
• Skill in: Preparing complex forms and processing and tracking large volumes of documents.
• Responding to and resolving inquiries resulting from initial registration requests.
• Creating and retaining candidate registration/affiliation records electronically.
• Entering candidate data into Firm and/or FINRA systems accurately and efficiently to meet deadlines.
• Handling multiple telephone lines, inboxes and work queues.
• Educating internal stakeholders regarding registration requirements and processes.
• Operating standard office equipment and using required software applications.
• Ability to: Attend to detail while maintaining a big picture orientation.
• Read, interpret, analyze, and apply information from Firm policies and procedures, and regulatory agencies.
• Influence, motivate and persuade others to achieve desired outcomes without organizational authority.
• Work under pressure to manage multiple tasks with changing priorities to meet deadlines in a fast-paced environment with frequent interruptions.
• Communicate effectively, both orally and in writing.
• Work independently as well as collaboratively within a team environment.
• Handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner.
• Maintain confidentiality of candidates' personal and registration-related data.
• Establish and maintain effective working relationships at all levels of the organization.
• Increase knowledge of SEC, FINRA, states/jurisdictions and other SRO regulations regarding individual registration requirements.
• High School diploma or equivalent and a minimum of four (4) years of relevant work experience.
• ~or~ Any equivalent combination of experience, education, and/or training approved by Human Resources.

Nice To Haves

• Appropriate FINRA series licensure for assigned functional area preferred.
• Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.

Responsibilities

• Prepares and submits required records for registering/associating candidates in accordance with Firm policies, industry standards, and federal and state securities laws.
• Establishes and maintains registration-related record keeping systems.
• Ensures initial registrations/affiliations are processed in a timely and accurate manner.
• Oversees the submission of initial registration/affiliation applications, examinations and other requests via Registrations Hub to the Financial Industry Regulatory Authority (FINRA) Gateway.
• Interprets and summarizes registration/association details from FINRA Gateway system to assist internal stakeholders as requested.
• Ensures that all FINRA, state/jurisdiction and other SRO requirements concerning customer complaints, disclosures, terminations and outstanding FINRA or IAR continuing education (CE) are escalated accordingly
• Maintains currency in FINRA, state/jurisdiction and other SRO rules and regulations regarding securities and advisory registrations.
• 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: Mid Level
• Education Level: High school or GED
• Number of Employees: 5,001-10,000 employees