Job Description Summary

Job Description

Utilizes knowledge and skills gained through experience or training to lead and be responsible for the operational support for a variety of investment products, including direct access to private market companies, private equity funds, private real estate, credit, and bespoke evergreen opportunities under a non-discretionary, non-fiduciary, non-advised framework. Contribute during the entire transaction process including pre-launch, active deal, and post deal close related tasks, plus perform other platform needs. Guide financial advisors and senior leadership in the resolution of complex problems and issues. Will be required to develop deep operational subject matter expertise on the platforms set of investments in order to appropriately support the products and the financial advisors who refer them, including a deep understanding of the platform’s regulatory requirements. Will employ knowledge to conceptualize, plan, and execute a variety of process improvement initiatives that often will involve several areas of the firm outside of PCG Investment Products, such as information technology, legal, compliance, supervision and marketing.

Essential Duties and Responsibilities

• Interact with Raymond James financial advisors, senior leadership within both PCG Investment Products and Private Client Group, and management at private market fund partners to troubleshoot service issues including, but not limited to, new investments and associated transaction process, economic payouts, reporting, ongoing transaction events, and fund dissolutions.

• Learn and employ basic technological concepts (e.g., data structures and database design) in order to work with Information technology professionals in implementing process improvement and risk mitigation projects.

• Oversee databases related to active and prospective deals, including additional development as enhancements are identified.

• Engage Raymond James financial advisors, private market fund sponsors, and many home office departments to holistically support many operational aspects of the Private Markets & Alternatives platform.

• Required to assist in the facilitation of private institutional client transactions to third-party fund sponsors, including the fulfillment of Raymond James requirements, pay financial advisor commissions, provide awareness around transfer/re-registrations, and maintain ongoing support for reporting inquiries.

• Continually works with the fund sponsor to improve the financial advisor and client experience with respect to an investment.

• Evaluates opportunities to create efficiencies.

• Assists with more complex research and investigation. May prepare analysis of information.

• Assists in orienting and training new team members.

• Performs other duties and responsibilities as assigned.

Knowledge of

• Fundamental concepts, practices and procedures of private institutional client deal flow

• Basic office practices, procedures and methods

• Basic accounting concepts

• Due diligence or operations area at a hedge fund, private equity firm, institutional consultant, or broker dealer

• Client disclosure concepts

• All MS Office applications including an ability to work with more advanced Excel functions such as pivot tables and formulas

• Complex FINRA and SEC rules that define client accreditation standards

• Basic database and technology concepts

• Increasing effectiveness and efficiency of business processes through technology

• Key internal and/or external contacts to request assistance from or utilize expertise

• FINRA and SEC rules

Skill in

• Organization and time management sufficient to prioritize workload, handle multiple tasks, and meet deadlines

• Project Management

• Communicating effectively both verbally and in writing with detail and precision

• Critical thinking and problem solving with limited supervisory guidance

• Operating standard office equipment and using required software applications to produce correspondence, electronic communication and maintain spreadsheets and databases.

Ability to

• Build solid, effective working relationships with others.

• Collaborate with IT to design, test, and implement projects.

• Coach others in the development of their skills.

• Execute instructions and request clarification when necessary.

• Provide courteous, timely service when addressing customer questions and concerns.

• Speak clearly and concisely.

• Convey information clearly and effectively through both formal and informal documents.

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

• Plan, organize, and coordinate work assignments.

• Promote team cohesiveness, cooperation, and effectiveness.

• Pay close attention to detail.

• Perform all functions with limited supervisory support and with a high level of accuracy.

• Multi-task, work in teams, self-motivate/take initiative, innovate, work independently, adapt, accept and lead change, meet deadlines

Education/Previous Experience

• Bachelor’s Degree or equivalent with a minimum of (3) three years’ experience

• OR ~

• An equivalent combination of education, experience and/or training.

Licenses/Certifications

• SIE required provided that an exemption or grandfathering cannot be applied

• Series 7 Or Series 99 preferred, or ability to obtain within one year

Education

Work Experience

Certifications

Travel

Workstyle

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

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates.  When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.