Job Description Summary

Supports the client relationship management function in a financial company. Expert individual contributor that supports strategic client accounts. Focus on driving client loyalty, managing escalations, and growing the client relationships. Works closely with service, trading, executive management, technology, and other internal subject matter experts to resolve client concerns. Identifies opportunities to utilize company resources to capture assets and maintain profitability standards.

Job Description

Job Summary:
Under general direction with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, or training to successfully cultivate existing contacts, and assist in developing new relationships, to proactively capture assets and grow revenues for the division. Serves as the home office sales and relationship management contact for financial advisors and/or financial institution executives desiring to learn about the division’s services, platforms, or firm resources. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with appreciable latitude for actions or decisions made under limited supervision. Provides comprehensive solutions to complex problems. Extensive contact with internal and external clients is required to establish and maintain relationships that lead to creating new business and retaining/growing existing business.

 

Essential Duties and Responsibilities:
• Regularly and proactively contacts existing clients, in person, via email and/or the phone, to ensure that the division’s services are meeting their needs and to seek to capture additional revenues where possible.
• Proactively contacts financial advisors and financial institution executives to explore coaching or educational opportunities to generate additional revenue and to identify and resolve problems/issues that arise; assists financial advisors and financial institution executives with the development of sales strategies and marketing plans.
• Assists Division Director with implementing a business plan, and various projects for the division.
• Responds to requests from financial advisors and financial institution executives who need assistance in selling products/services or implementing projects, utilizing Raymond James resources or problem solving.
• Assists the Division Director with supervisory oversight of the investment programs and the affiliated financial advisors within a defined territory; oversees compliance and regulatory management, proactively mitigates risks, identifies areas of concerns and handles day to day issues as they arise including, but not limited to sales supervision, disciplinary actions, and responses to regulatory inquiries.
• Serves as a change agent. Supports, communicates and reinforces changes in strategic initiatives.
• Applies and recommends changes to organizational policies and procedures; reviews progress of assigned projects, and balances conflicting resources with priority demands.
• Creates, or oversees the creation of, proposals for existing financial institutions including, when necessary, financial projections to illustrate the fees/commissions and expenses on various types of business. 
• Prepares and/or delivers presentations to prospective/existing institutions and FAs joining existing branches highlighting how the division’s products, services and resources can meet their needs and/or expand their business. 
• Manages and conducts home office visits with prospective, new or existing affiliates.
• Coordinates the transition process, ensuring target dates are met to maximize revenue and high quality service is delivered during the transition.
• Coordinates with other functional areas to ensure a professional recruiting process, including routine calls, sending materials to prospects, creating reports and other associated administrative tasks including onboarding support.
• May support marketing and other advertising initiatives by organizing and implementing calling campaigns and mass mailings.
• Acts as a liaison between existing client financial institutions and various internal departments on issues ranging from compensation to client services.
• Assists in the creation of internal reports as needed.
• May assist with coaching and mentoring other associates. 
• Performs other duties and responsibilities as assigned. 

 

Qualifications

Knowledge, Skills, and Abilities:

Knowledge of:
• Company’s working structure, policies, missions, strategies, and compliance/supervision guidelines.
• Concepts, practices and procedures of business development in a financial services environment.
• Investment concepts, practices and procedures used in the securities industry.
• Principles of banking and finance and securities industry operations.
• Financial markets and products.
• Financial advisors’ duties and challenges as well as the general operation and management of an investment services practice.

 

Skill in:
• Problem solving sufficient to effectively analyze, research and resolve inquiries and issues in a timely manner.
• Analyzing business processes and identifying process improvement opportunities.
• Identifying the needs of prospects and customers through effective questioning and listening techniques.
• Developing business development strategies.
• Maintaining and expanding referral sources.
• Initiating sales calls, responding to inquiries and turning them into sales opportunities.
• Facilitating transition processes.
• Detail orientation to ensure quality standards are met without impairing workflow.
• Follow-up to ensure resolution and completion of tasks.
• Expertise in communicating in both verbal and written form.

• Preparing and delivering clear, convincing and professional sales presentations to small and large audiences.
• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, and spreadsheets.

 

Ability to:
• Organize, prioritize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with internal and external clients at all organizational levels, and with all levels of expertise in the securities industry, to accomplish objectives.
• Effectively address concerns or challenging questions when they arise.
• Effectively market Raymond James and/or division and show resilience through the prospecting process.
• Work independently as well as collaboratively within a team environment.
• Identify problems, gather facts, and develop solutions.

 

Educational/Previous Experience Requirements:
• Bachelor’s Degree from four-year college or university with a minimum of five (5) to seven (7) years’ experience in a financial planning, investment management or other financial services environment.
~or~
• Any equivalent combination of experience, education, and/or training approved by Human Resources.

 

Licenses/Certifications:

• SIE required provided that an exemption or grandfathering cannot be applied.
• Series 7 license required.
• Series 65 or 66 required or ability to obtain within 90 days.
• Series 9/10 or 24 required or ability to obtain within 90 days

Life and Health licenses preferred

Education

Bachelor’s - Completed: Accounting, Bachelor’s - Completed: Business Administration, Bachelor’s - Completed: Finance

Work Experience

General Experience - 6 to 10 years

Certifications

Travel

Less than 25%

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. 

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