Fixed Income Operations Advisor
Raymond James, Memphis, TN, United States
Job Description Summary
Under direct supervision, uses knowledge and skills obtained through experience and training to acquire and track documentation for account opening, review the documentation and ensure that it meets all necessary requirements based on regulations. Assists in special projects as needed by FICM Sales Management. Helps resolve questions and problems, reports new or unusual issues to a higher level, and communicates effectively with internal or external clients to obtain, clarify, or provide facts and information. Performs administrative duties such as scheduling meetings, coordinating meeting logistics, processing invoices, and other duties required.
Essential Duties and Responsibilities
Assist in creating, enhancing, and maintaining the infrastructure to support business operations within Fixed Income Capital Markets.
Stay up to date with evolving regulatory changes and market events impacting the business.
Interpret and apply organizational policies and procedures.
Coordinate the preparation of special analyses and information reports for management.
Participate in establishing objectives and developing processes and procedures to ensure efficient and timely workflow.
Perform periodic reporting on work progress, project completions and additional ad‑hoc reporting as needed.
Balance conflicting resource and priority demands.
Operate standard office equipment and use required software applications.
Perform other duties and responsibilities as assigned.
Knowledge
Fundamental concepts, principles, and processes of Fixed Income regulatory requirements and needs.
Investment concepts, practices, and procedures used in the securities industry.
Principles of banking and finance operations.
Operations and systems in assigned functional area.
Financial markets and products.
Skill
Organization.
Attention to detail.
Interpreting and applying policies and procedures.
Implementing processes and procedures for efficient and timely workflow.
Preparing management reports.
Proven ability to build strong relationships with stakeholders, learn quickly, be flexible and think strategically.
Operating standard office equipment and using required software applications.
Ability
Use analytical and critical thinking skills in reading, interpreting, analyzing and applying information from legal documentation and references.
Balance conflicting resource and priority demands.
Maintain currency in assigned area of responsibility.
Partner with other functional areas to accomplish objectives.
Perform a variety of operations procedures within Fixed Income.
Read, interpret, analyze and apply information from job‑related publications.
Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast‑paced work environment.
Communicate effectively, both orally and in writing.
Work independently as well as collaboratively within a team environment.
Establish and maintain effective working relationships at all levels of the organization.
Educational/Previous Requirements
Bachelor’s Degree in Business Administration or related discipline and a minimum of two (2) to five (5) years’ experience in the assigned function.
OR an equivalent combination of education, training or experience.
Licenses/Certifications
SIE required, unless an exemption or grandfathering applies.
Paralegal certification preferred but not required.
Series 24 preferred but not required.
Series 7/Series 63 License or appropriate series license(s) for assigned functional area, or international equivalent.
Travel Required Yes, 5 % of the time.
Education High School (HS) required.
Work Experience General Experience – 13 months to 3 years.
Benefits 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.
We are an equal opportunity employer and make all employment decisions on the basis of merit and business needs.
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Essential Duties and Responsibilities
Assist in creating, enhancing, and maintaining the infrastructure to support business operations within Fixed Income Capital Markets.
Stay up to date with evolving regulatory changes and market events impacting the business.
Interpret and apply organizational policies and procedures.
Coordinate the preparation of special analyses and information reports for management.
Participate in establishing objectives and developing processes and procedures to ensure efficient and timely workflow.
Perform periodic reporting on work progress, project completions and additional ad‑hoc reporting as needed.
Balance conflicting resource and priority demands.
Operate standard office equipment and use required software applications.
Perform other duties and responsibilities as assigned.
Knowledge
Fundamental concepts, principles, and processes of Fixed Income regulatory requirements and needs.
Investment concepts, practices, and procedures used in the securities industry.
Principles of banking and finance operations.
Operations and systems in assigned functional area.
Financial markets and products.
Skill
Organization.
Attention to detail.
Interpreting and applying policies and procedures.
Implementing processes and procedures for efficient and timely workflow.
Preparing management reports.
Proven ability to build strong relationships with stakeholders, learn quickly, be flexible and think strategically.
Operating standard office equipment and using required software applications.
Ability
Use analytical and critical thinking skills in reading, interpreting, analyzing and applying information from legal documentation and references.
Balance conflicting resource and priority demands.
Maintain currency in assigned area of responsibility.
Partner with other functional areas to accomplish objectives.
Perform a variety of operations procedures within Fixed Income.
Read, interpret, analyze and apply information from job‑related publications.
Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast‑paced work environment.
Communicate effectively, both orally and in writing.
Work independently as well as collaboratively within a team environment.
Establish and maintain effective working relationships at all levels of the organization.
Educational/Previous Requirements
Bachelor’s Degree in Business Administration or related discipline and a minimum of two (2) to five (5) years’ experience in the assigned function.
OR an equivalent combination of education, training or experience.
Licenses/Certifications
SIE required, unless an exemption or grandfathering applies.
Paralegal certification preferred but not required.
Series 24 preferred but not required.
Series 7/Series 63 License or appropriate series license(s) for assigned functional area, or international equivalent.
Travel Required Yes, 5 % of the time.
Education High School (HS) required.
Work Experience General Experience – 13 months to 3 years.
Benefits 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.
We are an equal opportunity employer and make all employment decisions on the basis of merit and business needs.
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