Financial Advisor Trainee - PCG
Company: Raymond James
Posted on: November 25, 2022
Through distance learning, apprenticeship and training at the
firm's international headquarters, the Advisor Mastery Program
(AMP) offers a comprehensive education for the next generation of
Raymond James Financial Advisors. The program takes a holistic
approach by incorporating training for technical and sales skills
to fully position new Advisors for success.
In conjunction with a Mentor, Branch Manager, and/or a team of
Financial Advisors, the Financial Advisor Trainee will learn to
build an individual practice. The Trainee will balance new client
development, sales activities, investment management, customer
service and compliance with personal and professional growth and
development. The Trainee will also provide clients with sound
financial advice and counsel consistent with the client's
objectives, time horizon, and risk tolerance. In addition, the
requirements of the AMP Program are designed to support long-term
development, whether a candidate plans to be a stand-alone Advisor
or join an existing team.
Essential Duties and Responsibilities:
Become trained and skilled to effectively and efficiently perform
the Financial Advisor role:
* If hired as a team candidate, the team will provide the specific
goals and expectations.
* Meets production targets that impact overall company revenue
* Develops a book of business consistent with AMP program goals for
assets under management and required production.
* Provides a high level of client service.
* Manages the full scope of a client relationship by evaluating the
client's financial needs, investment opportunities, current
holdings and available investment capital.
* Helps clients identify their investment objectives by effectively
communicating portfolio losses when necessary, while preserving
* Develops client pipeline by prospecting, networking, engaging in
community initiatives, centers of influence and developing
* Recommends investment products, solutions, and services that are
suitable for prospects and clients based on predetermined client
needs, time horizons, risk profile, and preferences.
* Seeks expertise of internal resources to identify investment
opportunities and solutions for clients.
* Opens, transfers, and closes customer accounts.
* Maintains appropriate account records while monitoring the
* Makes recommendations consistent with changes in economic and
financial conditions as well as the client's needs and objectives,
considering newly offered investments.
* Obtains and verifies the customer's purchase and sale
instructions, enters orders, and follows up on completion of
* Completes required program training and assignments, obtains
mandatory industry licenses within prescribed timeframes, masters
assessments and meets minimum performance and production
* Stays abreast of investment products, industry rules and
regulations, and financial planning.
* Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
* Economic and accounting principles and practices.
* Financial markets, banking, and financial data analysis and
* Basic principles and methods for showing, promoting, and selling
products or services.
* Firm's working structure, policies, mission, strategies, and
* Operating client relationship manager system and other required
software applications to produce financial plans, correspondence,
reports, electronic communication, spreadsheets, and databases.
* Identifying the needs of customers through effective questioning
and listening techniques.
* Organize, manage, and track multiple detailed tasks and
assignments with frequently changing priorities and deadlines in a
fast-paced work environment to run an optimal practice.
* Continuously learn investment products, industry rules and
regulations, and financial planning.
* Use appropriate interpersonal styles and communicate effectively,
both orally and in writing, with all organizational levels.
* Keep all appropriate parties up-to-date on decisions, changes,
and other relevant information, and articulate reasons behind
* Establish and maintain effective working relationships with
clients and colleagues.
* Persevere, handle rejection and show resilience during the
prospecting and networking process.
* Network in the community and effectively market him or herself
and Raymond James.
* Demonstrate persistence in the face of obstacles.
* Accept criticism and deal calmly and effectively in high stress
Educational/Previous Experience Requirements:
* Bachelor's Degree (B.A.) from four-year college or university
preferred with a minimum of three (3) years of relevant working
experience, demonstrating achievement in sales (preferably
intangible) or business environments.
* An equivalent combination of experience, education, and/or
training as approved by Human Resources.
* SIE required provided that an exemption or grandfathering cannot
* Series 7 and Series 66 or the ability to obtain them within four
(4) months from the start of the program.
* Life, Health and Variable Annuity or the ability to obtain within
six (6) months from the start of the program.
Keywords: Raymond James, Birmingham , Financial Advisor Trainee - PCG, Accounting, Auditing , Birmingham, Alabama
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