Financial Advisor Trainee
Raymond James, Fort Myers, FL, United States
Job Description Summary
Fulfills varying tasks and assignments and completes rotations in a range of areas related to financial services, under varying levels of supervision. Develops skills and capabilities that equip the incumbent to move into a specific role in the organization.
Job Summary 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
Meet production targets that impact overall company revenue goals
Develop a book of business consistent with AMP program goals for assets under management and required production
Provide a high level of client service
Manage the full scope of a client relationship by evaluating the client’s financial needs, investment opportunities, current holdings and available investment capital
Help clients identify their investment objectives by effectively communicating portfolio losses when necessary, while preserving client loyalty
Develop client pipeline by prospecting, networking, engaging in community initiatives, centers of influence and developing niches
Recommend investment products, solutions, and services that are suitable for prospects and clients based on predetermined client needs, time horizons, risk profile, and preferences
Seek expertise of internal resources to identify investment opportunities and solutions for clients
Open, transfer, and close customer accounts
Maintain appropriate account records while monitoring the customer’s portfolio
Make recommendations consistent with changes in economic and financial conditions as well as the client’s needs and objectives, considering newly offered investments
Obtain and verify the customer’s purchase and sale instructions, enter orders, and follow up on completion of transactions
Complete required program training and assignments, obtain mandatory industry licenses within prescribed timeframes, master assessments and meet minimum performance and production standards
Stay abreast of investment products, industry rules and regulations, and financial planning
Perform other duties and responsibilities as assigned
Knowledge
Economic and accounting principles and practices
Financial markets, banking, and financial data analysis and reporting
Basic principles and methods for showing, promoting, and selling products or services
Firm’s working structure, policies, mission, strategies, and compliance guidelines
Skill
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
Ability
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 decisions
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 oneself and Raymond James
Demonstrate persistence in the face of obstacles
Accept criticism and deal calmly and effectively in high stress situations
Education / Previous Experience
College degree (Bachelor’s) in Accounting, Business Administration, Finance, or a related field preferred, with a minimum of three (3) years of relevant working experience, demonstrating achievement in sales (preferably intangible) or business environment, or an equivalent combination of experience, education, and/or training as approved by Human Resources
General experience – 7 to 12 months
Licenses / Certifications
SIE required provided that an exemption or grandfathering cannot be applied or ability to obtain within four (4) months from the start of the program
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
Certifications
Uniform Combined State Law Examination – Financial Industry Regulatory Authority (FINRA) (S66)
General Securities Representative Examination – Financial Industry Regulatory Authority (FINRA) (S7)
Securities Industry Essentials Exam (SIE) – Financial Industry Regulatory Authority (FINRA)
Travel Less than 25%
Workstyle Resident
The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status.
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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Job Summary 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
Meet production targets that impact overall company revenue goals
Develop a book of business consistent with AMP program goals for assets under management and required production
Provide a high level of client service
Manage the full scope of a client relationship by evaluating the client’s financial needs, investment opportunities, current holdings and available investment capital
Help clients identify their investment objectives by effectively communicating portfolio losses when necessary, while preserving client loyalty
Develop client pipeline by prospecting, networking, engaging in community initiatives, centers of influence and developing niches
Recommend investment products, solutions, and services that are suitable for prospects and clients based on predetermined client needs, time horizons, risk profile, and preferences
Seek expertise of internal resources to identify investment opportunities and solutions for clients
Open, transfer, and close customer accounts
Maintain appropriate account records while monitoring the customer’s portfolio
Make recommendations consistent with changes in economic and financial conditions as well as the client’s needs and objectives, considering newly offered investments
Obtain and verify the customer’s purchase and sale instructions, enter orders, and follow up on completion of transactions
Complete required program training and assignments, obtain mandatory industry licenses within prescribed timeframes, master assessments and meet minimum performance and production standards
Stay abreast of investment products, industry rules and regulations, and financial planning
Perform other duties and responsibilities as assigned
Knowledge
Economic and accounting principles and practices
Financial markets, banking, and financial data analysis and reporting
Basic principles and methods for showing, promoting, and selling products or services
Firm’s working structure, policies, mission, strategies, and compliance guidelines
Skill
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
Ability
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 decisions
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 oneself and Raymond James
Demonstrate persistence in the face of obstacles
Accept criticism and deal calmly and effectively in high stress situations
Education / Previous Experience
College degree (Bachelor’s) in Accounting, Business Administration, Finance, or a related field preferred, with a minimum of three (3) years of relevant working experience, demonstrating achievement in sales (preferably intangible) or business environment, or an equivalent combination of experience, education, and/or training as approved by Human Resources
General experience – 7 to 12 months
Licenses / Certifications
SIE required provided that an exemption or grandfathering cannot be applied or ability to obtain within four (4) months from the start of the program
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
Certifications
Uniform Combined State Law Examination – Financial Industry Regulatory Authority (FINRA) (S66)
General Securities Representative Examination – Financial Industry Regulatory Authority (FINRA) (S7)
Securities Industry Essentials Exam (SIE) – Financial Industry Regulatory Authority (FINRA)
Travel Less than 25%
Workstyle Resident
The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status.
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.
#J-18808-Ljbffr