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Alternative Investments Senior Analyst, Service and Operations

2 months ago

St Petersburg, United States Raymond James Financial Services Full time
Job Summary:

Under very limited direction, with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience to provide support of all Raymond James RCS division approved alternative investment products throughout their entire life cycle, including new product onboarding, ongoing investment servicing, and on occasion, termination of investment support. Partners with the Alternative Investments Group ("AIG") Operations team, Raymond James Financial Advisors, senior leadership within PCG Investment Products and Global Wealth Solutions, Regulatory Reconciliation, a leading investment platform and management at alternative investment fund partners. Designs, leads, and drives process improvement initiatives which reduce risk and add directly to the department's profitability.

Essential Duties and Responsibilities:
• Using experience gained from previous operations leadership roles at hedge funds, private equity funds, custodians, or administrators, will run the operational infrastructure of alternative investment funds held on a leading investment platform (investment marketplace).
• Offer depth of alternative investment subject matter knowledge, to ensure operations processes compare favorably with best practices in the industry.
• Lead AIG operations for RCS' alternative investment offering, working across many home office departments to holistically support all operational aspects of the Alternative Investments platform.
• Responds to requests for information from various stakeholders leveraging expertise of alternative investment products.
• Mentor associates performing operations support functions.
• Network with operational due diligence and other broker dealer contacts to continually benchmark the Raymond James platform against industry norms.
• Analyze existing operational infrastructure at existing funds on the AIG platform, compare the funds' infrastructure and control environment against industry standards, and make written recommendations on potential improvements to management.
• Employ a strong knowledge of database design and data structure to lead efforts to improve the efficiency and effectiveness of technology and business processes that support the group.
• Reconcile client investments to fund sponsors, generate client trade confirms, update positions and valuations on client statements, pay Financial Advisor commissions, process redemptions, fund subscriptions, and maintain account performance details.

  • Lead on suspense account and accrual reconciliations.

• Lead and employ basic technological concepts (e.g., data structures and database design) in order to work with Information Technology professionals in implementing process improvement and risk mitigation projects.
• Performs other duties and responsibilities as assigned.

Qualifications:

Knowledge, Skills, and Abilities:

Knowledge of:
• All MS office applications with advanced Excel and Access functions.
• Industry knowledge, critical thinking, excellent verbal and written communication skills, collaborative spirit, and leadership by words, and more importantly actions.
• Concepts, principles, and practices of assigned functional area.
• Investment concepts, practices and procedures used in the securities industry.
• Basic principles of banking and finance and securities industry operations.
• Financial markets and products.
• General and Limited Partnership Accounting Principles.
• FINRA and SEC rules involving investor accreditation standards.
• Working standards at a hedge fund, private equity fund, or alternative investment department.
• Accounting and reporting processes and controls, including cash management, valuation analysis, and NAV analysis.

Skill in:
• Preparing and reviewing operational infrastructure controls.
• Interpreting and applying policies and procedures.
• Establishing operational objectives.
• Developing processes and procedures for efficient and timely workflow.
• Preparing management reports.
• Reviewing third party vendor relationships for control weaknesse
• Promoting effective coordination between multiple work groups and functional areas.
• Identifying trends and implementing appropriate corrective action.
• Establishing control mechanisms.
• Implementing process improvement initiatives.
• Operating standard office equipment and using required software applications.

Ability to:
• Employ basic database and technology concepts and conceptualize how technology should be employed to increase effectiveness and efficiency of business processes.
• Maintain currency in assigned area of responsibility.
• Partner with other functional areas to accomplish objectives.
• Access compliance procedures, regulatory reporting, and regulatory exam results.
• Demonstrate a level of competence with well-respected industry fund partners.
• Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.
• Review and analyze audited financial statements to evaluate risk.
• Read and interpret complex legal documents such as private placement memorandums, limited partnership agreements, and selling agreements.
• Incorporate needs, wants, and goals from different business unit perspectives into operational processes.
• Gather information, identify linkages, trends, and apply findings to operations.
• Incite enthusiasm and influence, motivate, and persuade others to achieve desired outcomes.
• Prioritize and manage multiple priorities in a fast-paced, dynamically changing environment.
• Communicate effectively with management, respected hedge fund, private equity firms, and administrators both orally and in writing with precision and logic.
• Work independently, as well as collaboratively, within a team environment.
• Lead others in providing a high level of customer service.
• Establish and maintain effective working relationships at all levels of the organization, including negotiating resources.

Educational/Previous Experience Requirements:

Bachelor's Degree (B.A.) in Business Administration and a minimum of five (5) years' experience at either an alternative fund (e.g., hedge fund, private equity fund, etc.) or another broker dealer or custodian's alternative investment department

~or~
• Any equivalent combination of education, training and/or experience approved by Human Resources.

Licenses/Certifications:
• SIE required provided that an exemption or grandfathering cannot be applied.
• Series 7 Required, Series 99, or ability to obtain within one year (as required by FINRA)
• CAIA Preferred.

Raymond James Guiding Behaviors

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 outcome
• 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