Job Description:
- Provides onboarding documentation to prospective Advisors and registered persons.
- Obtains and reviews completed onboarding documentation while providing guidance on issues.
- Disseminates information and documentation to Regional Management and Registrations.
Knowledge:
- Knowledge of recruiting, onboarding, and registration processes for registered persons.
- Understanding of securities industry and/or banking compliance practices.
- Familiarity with rules and regulations of the SEC, FINRA, and state securities regulatory agencies.
Skills:
- Proficient in using DocuSign and Raymond James Box or equivalent platforms.
- Skilled in operating standard office equipment and using required software applications.
- Detail-oriented to ensure regulatory liability is limited.
Abilities:
- Ability to prioritize, manage, and track multiple detailed tasks efficiently.
- Able to work independently with minimal direct supervision.
- Ability to use interpersonal styles and communicate effectively.
Raymond James
Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 with locations and subsidiaries across the United States, Canada, the United Kingdom and Germany.