The Financial Advisor Trainee develops client relationships, meets production targets, and obtains necessary licenses while managing client investments and providing financial advice.
Job Description
Essential Duties and Responsibilities
•
Become trained and skilled to effectively and efficiently perform the Financial Advisor role:
•If hired as a team candidate, the team will provide the specific goals and expectations.
•Meets production targets that impact overall company revenue goals.
•Develops a book of business consistent with AMP program goals for assets under management and required production.
•Provides a high level of client service.
•Manages the full scope of a client relationship by evaluating the client’s financial needs, investment opportunities, current holdings and available investment capital.
•Helps clients identify their investment objectives by effectively communicating portfolio losses when necessary, while preserving client loyalty.
•Develops client pipeline by prospecting, networking, engaging in community initiatives, centers of influence and developing niches.
•Recommends investment products, solutions, and services that are suitable for prospects and clients based on predetermined client needs, time horizons, risk profile, and preferences.
•Seeks expertise of internal resources to identify investment opportunities and solutions for clients.
•Opens, transfers, and closes customer accounts.
•Maintains appropriate account records while monitoring the customer's portfolio.
•Makes recommendations consistent with changes in economic and financial conditions as well as the client's needs and objectives, considering newly offered investments.
•Obtains and verifies the customer's purchase and sale instructions, enters orders, and follows up on completion of transactions.
•Completes required program training and assignments, obtains mandatory industry licenses within prescribed timeframes, masters assessments and meets minimum performance and production standards.
•Stays abreast of investment products, industry rules and regulations, and financial planning.
•Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities
Knowledge of
•
Economic and accounting principles and practices.
•Financial markets, banking, and financial data analysis and reporting.
•Basic principles and methods for showing, promoting, and selling products or services.
•Firm’s working structure, policies, mission, strategies, and compliance guidelines.
Skill in
•
Operating client relationship manager system and other required software applications to produce financial plans, correspondence, reports, electronic communication, spreadsheets, and databases.
•Identifying the needs of customers through effective questioning and listening techniques.
Ability to
•
Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment to run an optimal practice.
•Continuously learn investment products, industry rules and regulations, and financial planning.
•Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.
•Keep all appropriate parties up-to-date on decisions, changes, and other relevant information, and articulate reasons behind decisions.
•Establish and maintain effective working relationships with clients and colleagues.
•Persevere, handle rejection and show resilience during the prospecting and networking process.
•Network in the community and effectively market him or herself and Raymond James.
•Demonstrate persistence in the face of obstacles.
•Accept criticism and deal calmly and effectively in high stress situations.
Educational/Previous Experience Requirements
Education/Previous Experience
•
Bachelor’s Degree (B.A.) from four-year college or university preferred with a minimum of three (3) years of relevant working experience, demonstrating achievement in sales (preferably intangible) or business environments.
•OR ~
•An equivalent combination of experience, education, and/or training as approved by Human Resources.
Licenses/Certifications
Licenses/Certifications
•
SIE required provided that an exemption or grandfathering cannot be applied.
•Series 7 and Series 66 or the ability to obtain them within four (4) months from the start of the program.
•Life, Health and Variable Annuity or the ability to obtain within six (6) months from the start of the program.
Travel
Travel Required
Travel Required:
Yes, 10 % of the Time
Education
Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Finance, Bachelor’s (Required)Work Experience
General Experience - 13 months to 3 yearsCertifications
Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 65 or Series 66_RA - Investment Adv Rep - Financial Industry Regulatory Authority (FINRA), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority (FINRA)Salary Range
$34,320.00-$40.86Travel
Less than 25%Workstyle
ResidentAt 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.
#LI-DG1Top Skills
Client Relationship Management Software
Financial Planning Software
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