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Financial Advisor
Raymond James. Provide financial services to Raymond James clients in a home-office call center environment .
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in financial services, particularly in variable annuities and life insurance products, while ensuring compliance with regulatory policies. Capable of providing escalated support for client portfolios and managing brokerage accounts effectively.
Highest-signal resume keywords
Variable Annuities ExpertiseSIE LicenseSeries 7 LicenseFINRA Series 66 LicenseInsurance License
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Financial ServicesAnnuity ProcessingInvestment Policy QuestionnairesAsset AllocationModern Portfolio TheoryClient Account ManagementRisk MitigationQuality Assurance ProcessesRegulatory ComplianceTrade Execution
Soft Skills
Effective CommunicationCoaching and MentoringIndependent and Collaborative WorkPressure ManagementMultitasking
Tools & Technologies
Standard Office EquipmentSoftware Applications
Certifications & Qualifications
Bachelor’s DegreeSIE LicenseSeries 7 LicenseFINRA Series 66 LicenseInsurance License
Industry Keywords
Financial MarketsInvestment ProductsClient PortfoliosAML ComplianceSurrender Charges1035 Exchanges
About the role
Key responsibilities & impact- Provide financial services to Raymond James clients in a home-office call center environment
- Review annuity applications and requirements and enter initial applications promptly
- Communicate with insurance companies regarding submitted business and issues
- Support annuity processing, product changes, deadlines, and post-issue product inquiries
- Coach and mentor less experienced Investment Central associates
- Oversee processes for more than $3 billion in client assets with other Virtual Financial Advisors
- Provide escalated support and guidance for client portfolios and customer queries
- Identify and report client-account issues that may create potential liability
- Implement controls and quality-assurance processes
- Research and explain investments using asset allocation and modern portfolio theory
- Address AML and supervisory alerts
- Assist clients, branches, advisors, and back-office operations with business and operational questions
- Oversee account opening, sales practices, and execution of unsolicited client orders
- Manage, review, and approve client activity
- Establish and manage brokerage accounts in accordance with regulations
- Contact clients to review portfolios, complete Investment Policy Questionnaires, and provide suitable recommendations
- Acquire additional assets held away from the firm
- Place trades, including large-volume trades, while conducting due diligence and mitigating risk
- Ensure compliance with firm and regulatory policies
Requirements
What you’ll need- Bachelor’s Degree (B.A. / B.S.) in a related discipline
- Minimum of four (4) years of experience in the financial services industry
- Minimum of three (3) years’ experience with variable annuities and life insurance products
- SIE and Series 7 licenses required
- FINRA Series 66 or Series 63 & 65 required
- Insurance License required
- Knowledge of variable annuity post-issue product details, riders, living benefits, death benefits, surrender charges, and 1035 exchanges
- Knowledge of securities, banking, finance, financial markets, and investment products
- Ability to communicate effectively with clients, financial advisors, carriers, and back-office staff
- Ability to review client financial profiles and determine product suitability based on risk tolerance, income needs, and goals
- Ability to use standard office equipment and required software applications
- Ability to maintain confidentiality and work independently and collaboratively
- Ability to work under pressure, manage multiple tasks, and meet deadlines
- Any equivalent combination of experience, education, and/or training approved by Human Resources
Benefits
Comp & perks- Medical, dental, and vision benefits
- Life insurance
- Critical illness insurance
- Accident insurance
- Disability benefits
- Retirement savings
- Paid time off, including vacation, holidays, and sick leave
- Parental leave
- Hybrid workstyle
- Professional development and opportunities to inspire others
- Less than 25% travel