Raymond James Transition Consultant II in Tampa, Florida

Job Summary:

Under limited supervision uses specialized knowledge and skills obtained through experience, specialized training or certification to facilitate the creation and implementation of systems needed to provide new offices, satellite offices and financial advisors (FAs) with a successful transition to Raymond James and Associates (RJA) and Raymond James Financial Services (RJFS). Fosters and assists in the development of relationships with new offices and FAs. Identifies, researches and works with home office associates to resolve problems associated with transitions. Guidance is provided to perform varied work that is somewhat difficult in character requiring some evaluation, originality and ingenuity to make moderately complex decisions.

Essential Duties and Responsibilities:

• Understands and educates new branch personnel on the policies and procedures relating to operations, compliance, marketing, technology, investment products and general business issues.

• Ensures all operational features of the office establishment are arranged and coordinated prior to start date.

• Provides consultative educational orientations to all new FAs, offices and their associates on policies and procedures via on-site or telephone meetings.

• Assists branches with general questions on all aspects of their business during their transition to Raymond James.

• Acts as Branch Manager on an infrequent basis as business warrants (after obtaining Series 24).

• Acts as a liaison and ensures follow up and completion of all transition responsibilities for new FAs and new offices with Raymond James home office departments to resolve problems.

• Assists with new FA and branch paperwork, including but not limited to, opening accounts, transfering accounts, setting up files and following up to determine incomplete information.

• Assists in developing new educational ideas and systems.

• Acts as a liaison to Business Development, Private Client Group Education and Sales Management.

• Acts as the primary point of contact while team members are away from office.

• May conduct home office visits for new financial advisors joining RJA and RJFS offices.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

Knowledge of:

• Basic office practices, procedures and methods.

• Account types, the transfer process, and industry operations in general.

• Back office systems.

Skill in:

• 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.

Ability to:

• 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 interact effectively with and guide financial advisors and their staff on various operational issues.

• Execute instructions and request clarification when necessary.

• Constructively work under stress and pressure when faced with high workloads and deadlines.

• Provide a high level of customer service in a calm, courteous and professional manner.

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

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

• Learn new software and proprietary systems as needed.

Educational/Previous Experience Requirements:

• Bachelor’s Degree in Business or in related field with a minimum of three (3) years related brokerage operation and compliance experience in the financial services industry.


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


• Series 7 required.

• Series 63 or 66 required or obtained within three (3) months depending on state requirements.

• Series 24 or 9/10 required or obtained within six (6) months.

Job: *Operations

Organization: *Operations & Administration

Title: Transition Consultant II

Location: FL-Tampa-St. Petersburg

Requisition ID: 1602363