Assistant Regional Director, RJFS - ICD, Southeast Region

Job Description

Description

Job Summary:

Under general direction with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience, to assist in the development and implementation of programs and procedures related to revenue growth by facilitating practice management and recruiting strategies within an assigned region. Provides strategic support of various activities including the adherence to firm policies and procedures. Provides comprehensive solutions to complex problems under the supervision of the regional director . Extensive contact with Branch Owners (BO’s) and Financial Advisors (FAs) is required to enhance relationship building and to support branch supervision and compliance activities.

Essential Duties and Responsibilities:

• Assists in the development, implementation and delivery of programs and procedures for Raymond James Financial Services (RJFS) with Branch Owners (BO’s) and Financial Advisors (FAs) involving recruiting, relationship management, asset growth, and disciplinary actions.
• Develops relationships with ICD branch managers and financial advisors.
• Communicates and supports the implementation of growth strategies, including those related to retention, attrition, and asset and revenue growth goals.
• Assists the Regional Director with supervisory oversight of the investment programs and the affiliated financial advisors within a defined territory; oversees compliance and regulatory management, proactively mitigates risks, identifies areas of concerns and handles day to day issues as they arise to include sales supervision, disciplinary actions, and responses to regulatory inquiries.
• Takes prudent corrective actions with branch managers or through branch managers when improper sales practices are discovered in the assigned region.
• Supports, communicates and reinforces changes in strategic initiatives and corporate policies.
• Assists with the development and implementation of practice management strategies within the region.
• Formulates/delivers practice management strategies and campaigns that focus on business management, product knowledge and professional development of financial advisors (FAs).
• Facilitates regular calls and meetings for financial advisors to enhance communication and relationship building with advisor population.
• Participates in Home Office Visits.
• Maintains relationships with partner firms and representatives.
• Assists in the development and execution of professional development activities at national and regional conferences.
• Serves as steward of firm culture.
• Performs other duties and responsibilities as assigned.

Qualifications

Knowledge, Skills, and Abilities:

Knowledge of:

• Company’s working structure, policies, mission, strategies, and compliance guidelines.
• Investment concepts, practices and procedures used in the securities industry.
• Principles of banking and finance and securities industry operations.
• Financial markets and products.
• Financial Advisors’ duties and challenges.

Skill in:

• Problem solving sufficient to effectively analyze, research and resolve inquiries and issues in a timely manner.
• Analyzing business processes and identifying process improvement opportunities.
• Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, and spreadsheets.

Ability to:

• Organize, prioritize, and manage tasks and projects to complete work efficiently.
• Adapts message, interpersonal style, and channel to connect with others.
• Articulates the rationale for plans and emphasizes the benefits to gain commitment to action.
• Considers advisor, client, and firm interests when making decisions.
• Understands business context and anticipates impact of decisions.
• Takes accountability for delivering on own work goals and supports the team as needed.
• Gathers, tracks, and/or uses data to identify advisor or business needs and recommend solutions.
• Readily adapts to changing needs and demands of the business, clients, and team.
• Supports motivational environment that encourages collaborations and high performance.
• Perform as coach.

Educational/Previous Experience Requirements:

• Bachelor’s Degree (B.A) in related field with a minimum of ten (10) years of relevant experience in the financial services industry.
• Sales management experience in the securities industry strongly preferred.
~or~
• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications:

• SIE required provided that an exemption or grandfathering cannot be applied.
• Series 7 license required.
• Series 24 or 9 and 10 preferred, or to be obtained upon hire.