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Trading Support Specialist/Team Lead - Req. 1901742


Job Summary:


Independently and under minimal supervision, uses advanced knowledge and skills obtained through experience and/or training to lead others and provide support to branches, advisors, less experienced associates and other trading groups in specific trading activities within an assigned functional area.  May lead defined work or projects of moderate scope and complexity.  Serves as a resource to advisors and less experienced associates in resolving complex problems and issues. Extensive contact with internal and external customers is required to identify, research, and resolve problems.

Essential Duties and Responsibilities:


• Manually facilitates complex trade order processing when required.

• Ensures that trades are executed and confirmed in accordance with organizational policies and procedures.

• Facilitates the price adjustment and trade correction process.

• Ensures trades are confirmed and researches and resolves unconfirmed trades. 

• Reviews complex trade problems, analyzes and interprets data and determines appropriate corrective action.

• Contacts internal and external customers to resolve trading problems.

• Handles escalated calls and issues.

• Maintains currency in trading policies and procedures.

• Provides higher level trading support to financial advisors and responds to inquiries regarding fund suitability, products and services.

• Establishes and maintains periodic orders.  Resolves periodic order issues, cancels and corrects as needed.

• Ensures trades are receiving appropriate breakpoints/sales charges.

• Reviews, uploads and researches rejects on bulk trades for discretionary accounts, works with advisor to reprocess as needed.

• Coordinates and processes complex share class conversions, working with both internal and external departments and funds companies to ensure successful conversions.

• Ensures that all the varied and complex fund family rules and procedures are adhered to, and that the firm's regulatory obligations are met. 

• Processes complex various trade related reports and utilizes tools including trade related databases and 3rd party applications.

• Researches and corrects complex Asset Management Services portfolio rebalance issues.

• Trains new associates, and documents their progress and milestones.  Reports successes, and identifies concerns and seeks Management guidance.

• Leads the work of others and provides coaching and mentoring to less experienced associates.

• Works with Management and business consultants to improve future business processes.  Responsible for the documentation of current/future business processes.

• Delegates departmental workload as needed and communicates to appropriate personnel.

• Provides Inbox support, processes the more complex requests.

• Performs other duties and responsibilities as assigned.


Knowledge, Skills, and Abilities:

Knowledge of:

• Complex investment concepts, practices, procedures and industry regulations related to Mutual Fund trading activities.

• Principles and practices of customer relations and communications.

• Accounting principles.

• Front-end system used in assigned functional area and its relationship with account history.

• Excel, Access, Word and other applications as needed.

Skill in:

• Identifying financial events that affect orders.

• Reconciling and correcting transactions.

• Updating and maintaining information systems.

• Handling a high volume workload, phone calls and various other requests within specified timeframes.

• Operating standard office equipment and using required software applications, sufficient to create documents, spreadsheets, and business correspondence.

Ability to:

• Lead the work of others and provide training, coaching and mentoring.

• Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

• Read, interpret, analyze and apply complex transaction information. 

• Analyze and solve complex problems.

• Communicate effectively, both orally and in writing with associates, and internal and external customers. 

• Work independently as well as collaboratively within a team environment.

• Handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner.

• Interpret and apply policies and identify and recommend changes as appropriate.

• Establish and maintain effective working relationships at all levels of the organization.

• Perform complex levels of research.

• Ability to handle escalated calls and inquires.

Educational/Previous Experience Requirements:

• Bachelor’s Degree and a minimum of zero (0) to two (2) years of experience in the financial services industry.


• Any equivalent combination of education, experience and/or training approved by Human Resources.


• None required.

Raymond James Guiding Behaviors

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