Job Description
Job Description SummaryFulfills varying tasks and assignments and completes rotations in a range of areas related to financial services, under varying levels of supervision. Develops skills and capabilities that equips the incumbent to move into a specific role in the organization.
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Job Description
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Essential Duties and Responsibilities
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Become trained and skilled to effectively and efficiently perform the Financial Advisor role:
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If hired as a team candidate, the team will provide the specific goals and expectations.
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Meets production targets that impact overall company revenue goals.
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Develops a book of business consistent with AMP program goals for assets under management and required production.
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Provides a high level of client service.
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Manages the full scope of a client relationship by evaluating the client's financial needs, investment opportunities, current holdings and available investment capital.
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Helps clients identify their investment objectives by effectively communicating portfolio losses when necessary, while preserving client loyalty.
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Develops client pipeline by prospecting, networking, engaging in community initiatives, centers of influence and developing niches.
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Recommends investment products, solutions, and services that are suitable for prospects and clients based on predetermined client needs, time horizons, risk profile, and preferences.
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Seeks expertise of internal resources to identify investment opportunities and solutions for clients.
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Opens, transfers, and closes customer accounts.
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Maintains appropriate account records while monitoring the customer's portfolio.
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Makes recommendations consistent with changes in economic and financial conditions as well as the client's needs and objectives, considering newly offered investments.
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Obtains and verifies the customer's purchase and sale instructions, enters orders,



and follows up on completion of transactions.
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Completes required program training and assignments, obtains mandatory industry licenses within prescribed timeframes, masters assessments and meets minimum performance and production standards.
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Stays abreast of investment products, industry rules and regulations, and financial planning.
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Performs other duties and responsibilities as assigned.
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Knowledge of
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Economic and accounting principles and practices.
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Financial markets, banking, and financial data analysis and reporting.
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Basic principles and methods for showing, promoting, and selling products or services.
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Firm's working structure, policies, mission, strategies, and compliance guidelines.
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Skill in
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Operating client relationship manager system and other required software applications to produce financial plans, correspondence, reports, electronic communication, spreadsheets, and databases.
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Identifying the needs of customers through effective questioning and listening techniques.
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Ability to
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Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work setting to run an optimal practice.
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Continuously learn investment products, industry rules and regulations, and financial planning.
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Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.
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Keep all appropriate parties up-to-date on decisions, changes, and other relevant information, and articulate reasons behind decisions.
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Establish and maintain effective working relationships with clients and colleagues.
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Persevere, handle rejection and show resilience during the prospecting and networking process.
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Network in the community and effectively market him or herself and Raymond James.
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Demonstrate persistence in the face of obstacles.
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Accept criticism and deal calmly and effectively in high stress situations.
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Education/Previous Experience
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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 environment, or an equivalent combination of experience, education, and/or training as approved by Human Resources.
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Licenses/Certifications
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SIE required provided that an exemption or grandfathering cannot be applied or ability to obtain within four (4) months from the start of the program.
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Series 7 and Series 66 or the ability to obtain them within four (4) months from the start of the program.
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Life, Health and Variable Annuity or the ability to obtain within six (6) months from the start of the program.
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Education
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Bachelor's: Accounting, Bachelor's: Business Administration, Bachelor's: Finance, High School (HS) (Required)
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Bachelor's: Accounting, Bachelor's: Business Administration, Bachelor's: Finance
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Work Experience
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General Experience - 7 to 12 months
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Certifications
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s66 - Uniform Combined State Law Examination - Financial Industry Regulatory Authority (FINRA), s7 - General Securities Representative Examination - Financial Industry Regulatory Aut
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📌 Amp Financial Advisor Trainee (Melbourne, Fl) (Victoria)
🏢 raymondjames
📍 Victoria