Job Description
Job Summary
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.
Essential Duties and 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.
Knowledge, Skills, and Abilities
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.
Educational/Previous Experience 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.
Licenses/Certifications
None Required.
Appropriate FINRA series licensure for assigned functional area preferred.
Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.
Education
Work Experience
Certifications
Travel
Less than 25%
Workstyle
Hybrid
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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