ECM Operations Associate

Job Description

Job Summary

Under general direction and with a high level of autonomy, uses skills and knowledge gained through training and experience to perform duties that support operational coordination to the Equity Capital Markets business. Works within a team to establish and maintain procedures that support the ECM operational and business processing needs. Responsible for maintaining necessary systems and documentation that support the complexity of the ECM business operational workflow. Serves as a resource to all team members to provide ideas, support and resolution to complex problems. Works with management to contribute strategic direction on operational needs of the growing ECM business. Effectively communicates information with internal and external customers to adapt and master procedures, processes, and techniques to accomplish the requirements of this position.

Responsibilities

• Utilizes knowledge and understanding of operational policies and procedures to create, compose and edit operational and administrative correspondence and documentation that support varying ECM transactions and deals.

• Researches, gathers and compiles data and information; prepares reports and summaries; and replies to inquiries, selecting relevant data from a variety of sources.

• Ensures appropriate documentation and data management systems are maintained and updated as necessary.

• Performs additional and ad hoc duties and tasks that support the complexity of the syndicate business operational workflow.

• Orients and trains new team members of team operations, logistics, and systems that support the ECM business workflow.

• Maintains regular contact with Senior Managers and other internal clients to identify, research and resolve issues based on complex business needs and regulatory changes.

• Performs periodic reporting on work progress, project completions and additional ad-hoc reporting as required.

• Performs other duties and responsibilities as assigned.

Knowledge of

• Office and business flow practices, procedures and methods.

• Basic Accounting Principles.

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

• Fundamental investment concepts, practices and procedures used the securities industry.

Skill in

• Strong organizational and time management sufficient to prioritize workload, handle multiple tasks, and meet deadlines.

• Composing and editing correspondence and documentation.

• Researching, gathering and compiling data and information.

• Implementing and maintaining data management systems.

• Operating standard office equipment and using required software applications.

Ability to

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

• 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.

• Work independently with minimal supervision.

• Train, monitor and assign the work of others as appropriate.

• Make procedural decisions and judgments.

• Analyze and solve complex problems.

• Attend to detail while maintaining a big picture orientation.

• Manage multiple tasks with changing priorities to meet deadlines in a fast paced environment with constant interruptions.

• Communicate effectively, both orally and in writing.

• Work collaboratively within a team environment.

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

Additional Education and/or Previous Experience

• Associate’s Degree with a minimum of three (3) to five (5) years’ experience in customer service or an office environment.

• OR ~

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

Education

Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Finance

Work Experience

General Experience - 3 to 6 years

Certifications

Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Travel

Less than 25%

Workstyle

Resident

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. 

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