Virtual Financial Advisor

4 weeks ago

Memphis, Tennessee, United States Raymond James Financial Incorporated Full time
Job Summary:

As a Virtual Financial Advisor - Portfolio Manager at Raymond James Financial Incorporated, you will use your specialized knowledge and skills to provide financial services to associates or clients in a team environment. You will foster and assist in the development of relationships with new clients, assist associates or clients over the phone, and provide guidance on sales practice activities and requirements.

Key Responsibilities:
  • Coach and mentor less experienced Investment Central associates.
  • Work in cohesion with other Virtual Financial Advisors to oversee client assets and ensure proper fiduciary processes and procedures are integrated and aligned with business practices.
  • Provide escalated support and guidance in dealing with client portfolios and customer queries.
  • Inform management about issues with client accounts that may involve or expose the business to potential liability.
  • Assist management to implement adequate controls and quality assurance processes to address potential liability.
  • Keep abreast and maintain working knowledge of current Capital market news and how it can impact client accounts.
  • Research, interpret, and translate investments within portfolios and educate clients based on proper asset allocation and modern portfolio theory.
  • Address sensitive client issues surrounding AML or other Supervisory alerts generated by the firm.
  • Understand complex business models and constantly evolving practices.
  • Act as Branch Manager on an infrequent basis as business warrants.
  • Assist clients, branches, advisors, and back office operations with general questions on all aspects of our business and intertwined departments.
  • Assist in sales practices, oversight of the account opening process, the execution of client unsolicited orders, and offering guidance/supervision in relation to other associated sales practice activities and requirements.
  • Manage, review, and approve all clients' activity. Educate and guide our clients regarding services and products offered.
  • Establish and manage client brokerage accounts while maintaining complete client information in accordance with internal and external regulations.
  • Contact clients to review portfolios, complete Investment Policy Questionnaire, and provide information on investments and make suitable recommendations.
  • Work to acquire additional assets that the client may have held away from the firm.
  • Place various trades including large volume trades while performing due diligence and mitigating risk to the business.
  • Ensure firm and regulatory policies are followed within compliance standards.
Qualifications:
  • Advanced knowledge of concepts, practices, and procedures of securities and banking industry.
  • Fundamental investment concepts, practices, and procedures used in the securities industry.
  • Principles of banking and finance and securities industry operations.
  • Financial markets and products including annuities, UIT's, structured products, alternative investments, mutual funds, stocks, and options.
  • Organizational and time management skills sufficient to prioritize workload, handle multiple tasks, and meet deadlines.
  • Detail orientation to ensure quality standards are met without impairing workflow.
  • Follow-up to ensure resolution and completion of tasks.
  • Integrating and aligning fiduciary duties and procedures with business processes.
  • Coordinating large volumes of complex branch activities.
  • Reviewing trades and disbursements that may expose the firm to potential liability.
  • Research all forms of client queries that relate to various types of brokerage accounts.
  • Gather information and prepare oral and written reports to clients.
  • Preparing and delivering written and oral presentations.
  • Investigating relevant irregularities.
  • Identifying gaps in client portfolios based on client's objective and goals using modern portfolio theory.
  • Effectively and concise communication with clients.
  • Operating standard office equipment and using required software applications to perform research and produce e-mails, memos, spreadsheets, and reports.
  • Identifying the needs of customers through effective questioning and listening techniques.
Education and Experience:
  • Bachelor's Degree (B.A. / B.S.) in a related discipline and a minimum of four (4) years of experience in the financial services industry.
  • OR ~
  • Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses and Certifications:
  • SIE required provided that an exemption or grandfathering cannot be applied.
  • FINRA Series 7 required.
  • FINRA Series 66 or 63 and 65 required.

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