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Job Information

Raymond James Financial, Inc. Sales /Trading Asst II - REG (or unregistered) in Memphis, Tennessee


Job Summary:

Under limited supervision, uses specialized knowledge and skills in securities trading/sales obtained through training, certification and experience to assist trading and/or sales personnel in processing trades and communicating with clients and back office operations. May place orders on behalf of broker. Guidance is provided to perform varied work of substantial variety and complexity, requiring evaluation, originality and ingenuity in making moderately complex decisions. Recommends solutions to complex problems. Extensive contact with internal and external customers is required to obtain, clarify or provide facts and information.

Essential Duties and Responsibilities:

  • Tracks and confirms transactions to ensure accuracy.

  • Prepares management reports, as required.

  • Advises others in resolving complex problems and issues.

  • Maintains and updates account files.

  • Performs administrative tasks, including faxing, filing and copying.

  • Serves as liaison between client and sales and/or trading personnel.

  • Maintains currency in organizational and industry current events and best practices.

  • Plans, organizes and maintains effective and efficient workflow.

  • Accesses, interprets and applies market and client information; prioritizes flow of information; and communicates to appropriate personnel.

  • Initiates client transaction related communication to support sales and/or trading activities.

  • Executes trades, as required.

  • Participates in face to face client meetings.

  • Assists in compliance review process.

  • Operates standard office equipment and uses required software applications.

  • Performs other duties and responsibilities as assigned.


Knowledge, Skills, and Abilities:

Knowledge of:

  • Commonly used securities industry practices and procedures.

  • Concepts, principles and practices of securities trading/sales.

  • Procedures for processing trades.

  • Market levels, including accuracy of bids and offerings.

Skill in:

  • Responding professionally to inquiries and researching and resolving problems in a timely manner.

  • Performing qualitative and quantitative data analysis.

  • Analyzing problems and developing creative solutions.

  • Attending to detail while ensuring quality standards are met without impacting workflow.

  • Developing and maintaining effective workflow processes.

  • Selecting and using a variety of technical tools such as Bloomberg, Miter, Account Assignment Story Bond and MuniRecap.

  • Identifying different types of market data, determining time sensitivity and delivering within appropriate time frames.

  • Using standard office equipment and required software applications for electronic communication, spreadsheets and databases.

Ability to:

  • Communicate effectively, both orally and in writing

  • Provide a high level of customer service, including demonstrating sensitivity to customer needs and responding proactively.

  • Identify pertinent information and determine the potential impact on decisions and actions of the assigned functional area.

  • Use independent judgment in making decisions.

  • Work independently as well as collaboratively within a team environment.

  • Organize and prioritize multiple tasks and meet deadlines.

  • Establish and maintain effective working relationships with others.

Educational/Previous Experience 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.


  • 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.

Job: Trading

Primary Location: US-NY-New York-New York City

Other Locations: US-TN-Memphis-Memphis

Organization Fixed Income

Schedule Full-time

Job Shift Day Job

Travel No

Req ID: 2203739