Financial Advisor Trainee

Job Summary

Financial Advisor Trainee – 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. 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.

• 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 time frames, 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.

• 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.

• 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 decisions.
• Establish and maintain effective working relationships with clients and…