Analyst, Executive Consultant

Job Description Summary Job Description This home-office Executive & Stock Plan Solutions analyst performs many of the equivalent functions as a traditional retail branch advisor with the concession of advice and is in contact with internal business partners and external clients on a daily basis. Under general supervision, uses the extensive knowledge and skills obtained through education and experience to gather data and support operational and trading activities relating to Rule 10b5-1 stock trading plans and corporate clients' equity plans. Follows established procedures to perform routine tasks that range from basic to intermediate in complexity and receives guidance and direction to perform any non-routine tasks assigned. Supervision is provided to perform varied complex activities that require specific evaluation. Essential Duties and Responsibilities Facilitates the opening and maintenance of client accounts Assists with setting up Client Access, if needed for preferred third-party plan administrators Ensures required client paperwork is current with firm and industry requirements, rules, and regulations Processes and follows up on client documentation for proper maintenance of accounts and securities transactions Provides operational support to clients in handling basic requests Receives and processes unsolicited trade orders from clients or Financial Advisors Monitors the receipt and processing of securities to complete transactions Manually facilitates trade order processing when required Ensures that trades are executed and confirmed in accordance with regulatory and organizational policies and procedures Facilitates the price adjustment and trade correction process Ensures trades are confirmed and researches and resolves unconfirmed trades. Contacts internal and external customers to resolve trading problems. Maintains currency in trading policies, procedures and regulatory changes Monitors client information and restrictions Builds and maintains professional relationships with internal and external client Updates and maintains data and information in required databases Supports and complies with established policies and procedures. May recommend suggestions to improve workflows, policies and procedures. Knowledge, Skills, and Abilities Knowledge of Industry regulations related to trading activities Concepts, practices, and procedures of securities trading Operations, Money Movement and New Accounts systems Basic investment concepts, practices and procedures used in the securities industry FactSet Excel, Access, Smartsheet, Word along with other applications as needed Skill in Identifying and resolving operational issues, with a strong knack to recommend improvements that boost efficiency or efficacy Numerical aptitude and critical thinking sufficient to solve operational problems Identifying the needs of customers through effective questioning and listening techniques Communicating, both verbally and in writing, sufficient to interact with associates at all levels of the organization, as well as clients, Financial Advisors, and Branch personnel Ability to Demonstrate efficiency and flexibility in performing detailed transactional tasks in a fast-paced work environment with frequent interruptions and changing priorities. Analyze operational processes and identify opportunities for improvement. Provide courteous, timely service when addressing client issues and transactions Participate in on-the-job training and other learning activities to develop knowledge and understanding of FINRA, state and other regulatory agency rules and regulations regarding client accounts Organize and prioritize workload to meet deadlines Multitask to handle phones while processing time-sensitive client requests. Cultivate and maintain effective working relationships Education/Previous Experience Bachelor's Degree (B.A./B.S.) in a related discipline (Finance, General Business, or Economics very strongly preferred) OR ~ Any equivalent combination of experience, education, and/or training approved by Human Resources.

Minimum Experience:

3 years relevant experience preferred Licenses/Certifications Licenses/Certifications Required from

Date of Hire:

Securities Industries Essentials (SIE) and series 7 Required Series 66 within 5 months of hire

Education Bachelor's:

Finance Work Experience General Experience - 3 to 6 years Certifications Travel Workstyle Hybrid The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com. 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 outcomes
• 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 At Raymond James - as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates.

When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm. Today, Raymond James has locations and subsidiaries across the United States, Canada, the United Kingdom and Germany, and is listed on the New York Stock Exchange under the symbol RJF. Thanks for your interest in working with Raymond James. While we might not have the perfect role for you today, we'd love to keep in touch. Join our Talent Network to stay up to date on career opportunities that may be a good fit for you. Our business is deeply focused on people and their financial well-being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good aren't mutually exclusive. As an established but ever-evolving company, you can start - or continue - growing your career here. We invest in you with wide-ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow. Our people-first culture is outlined in our Culture Blueprint. Check it out to see why many choose to work at Raymond James - and why they stay.