Analyst, Executive Consultant

100 Raymond James & Associates, Inc.; Saint Petersburg (FL); Hybrid; USD 65,000 - 90,000; Full time

Benefits offered by this job

Medical, Dental, Vision

Life Insurance

Disability benefits

Retirement savings

Paid time off

Parental leave

Job summary

Raymond James in St. Petersburg, FL is seeking an Executive & Stock Plan Solutions analyst who supports trading and client accounts, coordinating with internal partners and external clients under supervision.

The role emphasizes regulatory knowledge, accuracy, and efficient handling of routine tasks as well as more complex work with guidance. This position requires strong client service, knowledge of FINRA rules, and the ability to adapt in a fast-paced environment.

Qualifications

• Bachelor’s Degree in Finance, General Business, or Economics strongly preferred.
• Minimum of 3 years relevant experience.
• Any equivalent combination of experience and training per HR guidance.

Responsibilities

• Facilitates opening and maintenance of client accounts.
• Assists with Client Access setup for third-party plan administrators.
• Ensures client paperwork complies with firm and regulatory requirements.
• Processes client documentation for account maintenance and securities transactions.
• Provides operational support to clients for basic requests.
• Receives and processes unsolicited trade orders from clients or Financial Advisors.
• Monitors receipt and processing of securities to complete transactions.
• Ensures trades are executed and confirmed per policy and regulatory standards.
• Supports price adjustment and trade correction processes; resolves unconfirmed trades.
• Maintains trading policy knowledge and updates data in required systems.
• Builds professional relationships with internal and external clients.
• Supports adherence to policies and procedures.

Skills

Regulatory knowledge

Securities trading

FINRA compliance

Client service

Data analysis

Education

Bachelor’s Degree in Finance/Business/Economics

Tools

FactSet

Excel

Smartsheet

Access

Job description

Job Description Summary Job Description

This home-office Executive & Stock Plan Solutions analyst performs many of the equivalent functions as a traditional retail branch advisor with the concession of advice and is in contact with internal business partners and external clients on a daily basis. Under general supervision, uses the extensive knowledge and skills obtained through education and experience to gather data and support operational and trading activities relating to Rule 10b5-1 stock trading plans and corporate clients’ equity plans. Follows established procedures to perform routine tasks that range from basic to intermediate in complexity and receives guidance and direction to perform any non-routine tasks assigned. Supervision is provided to perform varied complex activities that require specific evaluation.

Essential Duties and Responsibilities

• Facilitates the opening and maintenance of client accounts
• Assists with setting up Client Access, if needed for preferred third-party plan administrators
• Ensures required client paperwork is current with firm and industry requirements, rules, and regulations
• Processes and follows up on client documentation for proper maintenance of accounts and securities transactions
• Provides operational support to clients in handling basic requests
• Receives and processes unsolicited trade orders from clients or Financial Advisors
• Monitors the receipt and processing of securities to complete transactions
• Manually facilitates trade order processing when required
• Ensures that trades are executed and confirmed in accordance with regulatory and organizational policies and procedures
• Facilitates the price adjustment and trade correction process
• Ensures trades are confirmed and researches and resolves unconfirmed trades. Contacts internal and external customers to resolve trading problems.
• Maintains currency in trading policies, procedures and regulatory changes
• Monitors client information and restrictions
• Builds and maintains professional relationships with internal and external client
• Updates and maintains data and information in required databases
• Supports and complies with established policies and procedures.
• May recommend suggestions to improve workflows, policies and procedures.

Knowledge, Skills, and Abilities

• Knowledge of Industry regulations related to trading activities Concepts, practices, and procedures of securities trading Operations, Money Movement and New Accounts systems Basic investment concepts, practices and procedures used in the securities industry FactSet Excel, Access, Smartsheet, Word along with other applications as needed Skill in Identifying and resolving operational issues, with a strong knack to recommend improvements that boost efficiency or efficacy Numerical aptitude and critical thinking sufficient to solve operational problems Identifying the needs of customers through effective questioning and listening techniques Communicating, both verbally and in writing, sufficient to interact with associates at all levels of the organization, as well as clients, Financial Advisors, and Branch personnel Ability to Demonstrate efficiency and flexibility in performing detailed transactional tasks in a fast-paced work environment with frequent interruptions and changing priorities.
• Analyze operational processes and identify opportunities for improvement.
• Provide courteous, timely service when addressing client issues and transactions
• Participate in on-the-job training and other learning activities to develop knowledge and understanding of FINRA, state and other regulatory agency rules and regulations regarding client accounts
• Organize and prioritize workload to meet deadlines
• Multitask to handle phones while processing time-sensitive client requests.
• Cultivate and maintain effective working relationships

Education/Previous Experience

• Bachelor’s Degree (B.A./B.S.) in a related discipline (Finance, General Business, or Economics very strongly preferred)
• OR ~ Any equivalent combination of experience, education, and/or training approved by Human Resources.
• Minimum Experience: 3 years relevant experience preferred

Licenses/Certifications

• Licenses/Certifications Required from Date of Hire: Securities Industries Essentials (SIE) and series 7
• Required Series 66 within 5 months of hire
• Series 57 within 6 months of hire

Education Bachelor’s - Completed: Finance Work Experience General Experience - 3 to 6 years Certifications Travel Less than 25% Workstyle Hybrid

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

• medical, dental, and vision
• life insurance
• critical illness insurance and accident insurance
• disability benefits
• retirement savings
• paid time off (including vacation, holidays, and sick leave)
• parental leave

At Raymond James we employ 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.

At Raymond James – as part of our people‑first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive.

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 outcomes
• 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

The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

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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 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm.