Under direct supervision, uses specialized skills and knowledge gained through experience and training to guide others to administer the registration process for Financial Advisors. 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 problems and issues. Maintains regular contact with internal customers and representatives of regulating to obtain, clarify or provide facts and information and resolve registration issues.
Essential Duties and Responsibilities:
· Assists in monitoring the work of others and provides training in registration policies and procedures.
· Prepares and submits required forms for registering financial advisors in accordance with policies, industry standards and federal and state securities laws.
· Responds to escalated internal inquiries and resolves registration issues with state agencies and other regulators.
· Establishes and maintains registration record keeping systems.
· Ensures new hire registrations, personal status changes and transfers are processed in a timely and accurate manner.
· Oversees the submission of initial registration applications and other requests to the Financial Industry Regulatory Authority (FINRA) system.
· Interprets and summarizes registration, employment and credit details from FINRA system to assist in employment decisions.
· Handles/assists with reconciliation and chargeback of all registration fees.
· Ensures that all FINRA, state and other regulatory agency requirements concerning customer complaints, arbitrations, arrests, negative credit issues, registration terminations and continuing education are met within required time frames.
· Maintains currency in FINRA, state and other regulatory agency rules and regulations regarding financial advisor registration.
· Operates standard office equipment and uses required software applications.
· Performs other duties and responsibilities as assigned.
Job Summary:Under direct supervision, uses specialized skills and knowledge gained through experience and training to guide others to administer the registration process for Financial Advisors. 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 problems and issues. Maintains regular contact with internal customers and representatives of regulating to obtain, clarify or provide facts and information and resolve registration issues.
Essential Duties and Responsibilities:
· Assists in monitoring the work of others and provides training in registration policies and procedures.
· Prepares and submits required forms for registering financial advisors in accordance with policies, industry standards and federal and state securities laws.
· Responds to escalated internal inquiries and resolves registration issues with state agencies and other regulators.
· Establishes and maintains registration record keeping systems.
· Ensures new hire registrations, personal status changes and transfers are processed in a timely and accurate manner.
· Oversees the submission of initial registration applications and other requests to the Financial Industry Regulatory Authority (FINRA) system.
· Interprets and summarizes registration, employment and credit details from FINRA system to assist in employment decisions.
· Handles/assists with reconciliation and chargeback of all registration fees.
· Ensures that all FINRA, state and other regulatory agency requirements concerning customer complaints, arbitrations, arrests, negative credit issues, registration terminations and continuing education are met within required time frames.
· Maintains currency in FINRA, state and other regulatory agency rules and regulations regarding financial advisor registration.
· Operates standard office equipment and uses required software applications.
· Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:Knowledge of:
•Concepts, principles and practices of financial advisor registration.
•Rules and regulations of the Financial Industry Regulatory Authority and state securities regulatory agencies.
•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 and issues regarding registration issues.
•Establishing and maintaining files and records.
•Interpreting and summarizing personal information involved in employment decisions.
•Performing accounting functions.
•Entering large volumes of data into electronic systems accurately and efficiently to meet deadlines.
•Handling multiple telephone lines.
•Explaining complex registration issues to others.
•Operating standard office equipment and using required software applications.
Ability to:
•Lead the work of others and provide training in registration policies and procedures.
•Coach and mentor others.
•Attend to detail while maintaining a big picture orientation.
•Read, interpret, analyze and apply information from regulatory agencies.
•Influence, motivate and persuade others to achieve desired outcomes without organizational authority.
•Interpret and apply policies and identify and recommend changes as appropriate.
•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.
•Establish and maintain effective working relationships at all levels of the organization.
•Increase knowledge of FINRA, state and other regulatory agency rules and regulations regarding financial advisor registration.
Educational/Previous Experience Requirements:
•High School diploma or equivalent and a minimum of four (4) years of relevant work experience in the securities industry.
~or~
•Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications:
· None Required.
· Appropriate series license(s) for assigned functional area preferred.
· Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
Knowledge, Skills, and Abilities:Knowledge of:
•Concepts, principles and practices of financial advisor registration.
•Rules and regulations of the Financial Industry Regulatory Authority and state securities regulatory agencies.
•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 and issues regarding registration issues.
•Establishing and maintaining files and records.
•Interpreting and summarizing personal information involved in employment decisions.
•Performing accounting functions.
•Entering large volumes of data into electronic systems accurately and efficiently to meet deadlines.
•Handling multiple telephone lines.
•Explaining complex registration issues to others.
•Operating standard office equipment and using required software applications.
Ability to:
•Lead the work of others and provide training in registration policies and procedures.
•Coach and mentor others.
•Attend to detail while maintaining a big picture orientation.
•Read, interpret, analyze and apply information from regulatory agencies.
•Influence, motivate and persuade others to achieve desired outcomes without organizational authority.
•Interpret and apply policies and identify and recommend changes as appropriate.
•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.
•Establish and maintain effective working relationships at all levels of the organization.
•Increase knowledge of FINRA, state and other regulatory agency rules and regulations regarding financial advisor registration.
Educational/Previous Experience Requirements:
•High School diploma or equivalent and a minimum of four (4) years of relevant work experience in the securities industry.
~or~
•Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications:
· None Required.
· Appropriate series license(s) for assigned functional area preferred.
· Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
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 firmAt 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 firmAt 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.