Securities Trading Assistant

4 weeks ago


Nashville, Tennessee, United States Raymond James Full time

Job Summary: We are seeking a highly skilled Securities Trading Assistant to join our team at Raymond James. As a key member of our sales and trading team, you will be responsible for assisting trading and sales personnel in processing trades and communicating with clients and back office operations.

Key Responsibilities:

  • Track and confirm transactions to ensure accuracy.
  • Prepare management reports as required.
  • Advise others in resolving complex problems and issues.
  • Maintain and update account files.
  • Perform administrative tasks, including faxing, filing, and copying.
  • Serve as liaison between client and sales and/or trading personnel.
  • Maintain currency in organizational and industry current events and best practices.
  • Plan, organize, and maintain effective and efficient workflow.
  • Access, interpret, and apply market and client information; prioritize flow of information; and communicate to appropriate personnel.
  • Initiate client transaction-related communication to support sales and/or trading activities.
  • Execute trades as required.
  • Participate in face-to-face client meetings.
  • Assist in compliance review process.
  • Operate standard office equipment and use required software applications.

Requirements:

  • Bachelor's Degree (B.A.) with a minimum of five (5) years of experience in a sales or trading role within the securities or financial services industry.
  • OR any equivalent combination of education, experience, and/or training approved by Human Resources.
  • SIE required, provided that an exemption or grandfathering cannot be applied.
  • Series 7/Series 63 License or appropriate series license(s) for assigned functional area, or International equivalent.


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