Regional Operations Consultant - Req. 1804178
Under general supervision, uses specialized knowledge and skills obtained through experience and/or formal training to assist branch offices and Financial Advisors (FA) with their client needs by researching and resolving escalated issues associated with client accounts. Resolves and recommends solutions to complex problems that arise with the FA’s, their clients, branch administration, and/or other Raymond James departments.
Essential Duties and Responsibilities:
• Acts as a liaison between home office departments and the branch offices to research and resolve escalated issues regarding clients’ accounts communicated via phone, correspondence, email and online inquiries; follows the issue all the way through resolution and final communications.
• Maintains strong relationships with key business partners both internal and external.
• Determines best method to resolve issues, follows up, either verbally or in writing to ensure advisor satisfaction and adherence to company policies.
• Coordinates external due diligence/vendor management process and internal audit request of existing financial institution clients.
• Addresses inquiries pertaining to operational policies and procedures and relay policies that govern the procedures handled at the advisor level.
• Assists with coordinating of special projects for regional management to include events for advisors.
• Assists with education of team members regarding products and technology resources.
• Acts as liaison for the branches by explaining the different systems used and directing the FA to the appropriate systems needed.
• Maintains records of incoming calls, resolutions to the calls, and any contact to follow-up with branch personnel.
• Coordinates /oversees the transition process for internal transfers with other functional areas to ensure a professional transition process from initial contact through transition.
• Develops and implements new programs to provide improved service to the branches.
• Assists in the implementation of strategies and campaigns that focus on enhancing the growth and efficiency of financial advisors i.e., practice management, product knowledge, etc.
• Serves as main point of contact for certain firm initiatives, changes, or unexpected events. Examples are changes to account fees, trade fees, statement and reports
• Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
• Basic office and branch practices, procedures and methods.
• Account types and industry operations in general.
• Back office systems.
• Organizational and time management skills sufficient to prioritize workload, handle multiple tasks, and meet deadlines.
• Operating standard office equipment and using required software applications to produce correspondence, presentations, electronic communication and spreadsheets.
• Detail orientation to ensure quality standards are met without impairing workflow.
• Follow-up to ensure resolution and completion of tasks.
• Provide a high level of customer service in a calm, courteous and professional manner.
• Establish and maintain effective working relationships at all levels of the organization.
• Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.
• Use effective oral and written communication skills sufficient enough to communicate and interact effectively with Financial Advisors and branch associates.
• Constructively work under stress and pressure when faced with high workloads and deadlines.
• Ability to handle situations that require de-escalation in high volume circumstances.
• Ability to multi-task between several different functions daily.
Educational/Previous Experience Requirements:
• Bachelor’s degree preferred and five (5) years of experience in the financial services industry, preferably including related service experience.
• An equivalent combination of experience, education, and/or training as approved by Human Resources.
• SIE required provided that an exemption or grandfathering cannot be applied.
• Series 7 License or ability to obtain within nine (9) months, depending on assigned functional area.
• Series 63 or 66 License or ability to obtain within nine (9) months depending on assigned functional area.