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Job Description

Job Summary

Under direct supervision, uses specialized skills and knowledge gained through experience and training to administer the initial registration process for candidates. Follows established procedures to perform a variety of tasks requiring some evaluation, originality, or ingenuity in making routine decisions. Serves as a resource to resolve any initial registration issues. Maintains regular contact with registration candidates to obtain, clarify and/or provide required information in order to complete the registration process.

Essential Duties and Responsibilities

• Prepares and submits required forms for registering candidates in accordance with Firm policies, industry standards, and federal and state securities laws.

• Establishes and maintains electronic registration records for candidates.

• Ensures initial registrations are processed in a timely and accurate manner.

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

• Interprets and summarizes registration, licensing, and other details from FINRA Gateway.

• Ensures that all FINRA, state/jurisdiction and other SRO requirements concerning customer complaints, disclosures, terminations and outstanding continuing education 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.

Knowledge, Skills, and Abilities

Knowledge of:

• Concepts, principles, and practices of individual securities and advisory registrations and examination requirements.

• Rules and regulations of the SEC, FINRA, and states/jurisdictions

• Investment concepts, practices and procedures used in the securities industry.

• Principles of securities industry operations.

• Financial markets and products.

Skill in:

• Preparing Forms U4, and processing and tracking other onboarding documents.

• Responding to and resolving inquiries resulting from initial registration requests.

• Creating and retaining candidate registration records electronically.

• Entering candidate data into Firm and/or FINRA systems accurately and efficiently to meet deadlines.

• Handling multiple telephone lines and email inboxes.

• Explaining registration requirements and processes to others.

• Operating standard office equipment and using required software applications.

Ability to:

• Attend to detail while maintaining a big picture orientation.

• Read, interpret, analyze, and apply information from regulatory agencies.

• Influence, motivate and persuade others to achieve desired outcomes without organizational authority.

• Interpret and apply Firm policies and industry regulations.

• Work under pressure to manage multiple tasks with changing priorities to meet deadlines in a fast-paced environment with frequent interruptions.

• Communicate effectively, both orally and in writing.

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

• Handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner.

• Maintain confidentiality of candidates’ personal and registrations data.

• Establish and maintain effective working relationships at all levels of the organization.

• Increase knowledge of SEC, FINRA, state/jurisdiction and other SRO regulations regarding individual registrations.

Educational/Previous Experience Requirements

• High School diploma or equivalent and a minimum of four (4) years of relevant work experience in the securities industry.

or

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

Licenses/Certifications

• None Required.

• Appropriate series license(s) for assigned functional area preferred.

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Education

Work Experience

Certifications

Travel

Less than 25%

Workstyle

Hybrid

At Raymond James our associates use 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.

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

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

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