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Raymond James · 1 day ago

Sr. Associate, Registrations

St Petersburg, Florida - United States

Full-time

Hybrid

Mid, Senior Level

4+ years exp

Raymond James is a financial services firm, and they are seeking a Sr. Associate for their Registrations team. The role involves administering the registration process for candidates, ensuring compliance with industry standards and regulations, and serving as a resource for resolving registration-related issues.

BankingFinancial ServicesInformation TechnologyInsuranceWealth Management

Growth Opportunities

Responsibilities

Prepares and submits required records for registering/associating candidates in accordance with Firm policies, industry standards, and federal and state securities laws

Establishes and maintains registration-related record keeping systems

Ensures initial registrations/affiliations are processed in a timely and accurate manner

Oversees the submission of initial registration/affiliation applications, examinations and other requests via Registrations Hub to the Financial Industry Regulatory Authority (FINRA) Gateway

Interprets and summarizes registration/association details from FINRA Gateway system to assist internal stakeholders as requested

Ensures that all FINRA, state/jurisdiction and other SRO requirements concerning customer complaints, disclosures, terminations and outstanding FINRA or IAR continuing education (CE) are escalated accordingly

Maintains currency in FINRA, state/jurisdiction and other SRO rules and regulations regarding securities and advisory registrations

Operates standard office equipment and uses required software applications

Performs other duties and responsibilities as assigned

Qualification

Securities registrations knowledgeFINRA regulations knowledgeDocument processing skillsData entry accuracyCustomer service skillsEffective communicationTeam collaborationAttention to detail

Required

High School diploma or equivalent and a minimum of four (4) years of relevant work experience

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

Knowledge of concepts, principles, and practices of individual securities and advisory registrations and examination requirements

Knowledge of rules and regulations of the SEC, FINRA, and states/jurisdictions

Knowledge of investment concepts, practices and procedures used in the securities industry

Knowledge of principles of securities industry operations

Knowledge of financial markets and products

Skill in preparing complex forms and processing and tracking large volumes of documents

Skill in responding to and resolving inquiries resulting from initial registration requests

Skill in creating and retaining candidate registration/affiliation records electronically

Skill in entering candidate data into Firm and/or FINRA systems accurately and efficiently to meet deadlines

Skill in handling multiple telephone lines, inboxes and work queues

Skill in educating internal stakeholders regarding registration requirements and processes

Skill in operating standard office equipment and using required software applications

Ability to attend to detail while maintaining a big picture orientation

Ability to read, interpret, analyze, and apply information from Firm policies and procedures, and regulatory agencies

Ability to influence, motivate and persuade others to achieve desired outcomes without organizational authority

Ability to work under pressure to manage multiple tasks with changing priorities to meet deadlines in a fast-paced environment with frequent interruptions

Ability to communicate effectively, both orally and in writing

Ability to work independently as well as collaboratively within a team environment

Ability to handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner

Ability to maintain confidentiality of candidates' personal and registration-related data

Ability to establish and maintain effective working relationships at all levels of the organization

Ability to increase knowledge of SEC, FINRA, states/jurisdictions and other SRO regulations regarding individual registration requirements