Job Description

Job Summary

Under limited supervision, uses specialized knowledge and skills in the financial services industry obtained through education, experience, specialized training and/or certification to provide support to the trading team(s) within Global Equities & Investment Banking (GEIB). Aids in the supervision of the desk including order entry, trade reconciliation, documenting errors, and reconciling systems. Works on projects of moderate scope and complexity and is a key player in client onboarding for GEIB. Some guidance is provided to perform varied work that is somewhat difficult in character requiring evaluation, originality and ingenuity to make moderately complex decisions Regular contact with internal departments, clients and their custodians is required to identify, research and resolve problems.

Responsibilities

• Support the trade processing functions of either the Equity, Converts and/or Options desk (as applicable).

• Responsibilities may include maintenance of trade order entry systems and research and resolve trade differences and trade processing problems.

• Ensure that the correct client information is captured when onboarding new clients.

• Provides assistance to senior associates and management for Raymond James Institutional Equity/Options business or Institutional Equity business (as applicable to assigned area).

• Contact internal and external customers to resolve trading problems.

• Assists in researching trade problems and suggests appropriate corrective action

• Ability to work across Equity desk functions to provide variety of support when needed.

• Performs other duties and responsibilities as assigned.

Knowledge of

• Concepts, practices and procedures of securities trading.

• Intermediate investment concepts, practices and procedures used in the securities industry.

• Trade reconciliation and reconciling systems.

• Technology software used in the securities industry: Bloomberg, DTCC, CTM & FIX providers (NYFIX, Sungard & Raptor).

Skill in

• Updating and maintaining programs and databases.

• Identifying financial events that effect orders.

• Monitoring trading activities for adherence to organizational policies and procedures.

• Incorporating appropriate technology into the business process.

• Operating standard office equipment and using required software applications, sufficient to create documents, spreadsheets, and business correspondence.

Ability to

• Analyze and solve problems.

• Communicate effectively, both orally and in writing with associates, and internal and external customers.

• 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.

• Ability to handle high volume workloads while prioritizing sensitive tasks.

• Attend to detail while maintaining a big picture orientation.

• Establish and maintain effective working relationships at all levels of the organization.

Additional Education and/or Previous Experience

• Bachelor’s degree in Finance, Economics, Accounting or equivalent and a minimum of two (2) years of financial services industry experience.

• OR

• Any equivalent combination of experience, education, and/or training approved by Human Resources.• Bachelor’s degree in Finance, Economics, Business, Accounting or equivalent and a minimum of two (2) years

• of financial services industry experience.

Licenses/Certifications

• No license required, but SIE preferred

Education

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

Work Experience

Manager Experience - 0 to 3 months

Certifications

Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Travel

Less than 25%

Workstyle

Resident

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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