LPL Financial jobs in New York, NY - 41 jobs

The Campus Recruiting Assistant will provide support and assistance to the overall Campus Recruiting Team and assist with various projects and initiatives for the North America recruiting organization. The Campus Recruiting Assistant will provide direct support to the Recruiting Manager and all Recruiters for the firm's Campus Recruiting efforts. Flexibility and agility to support varying priorities as well as a desire to grow and develop are key. Key Responsibilities: * Manage applicant tracking system throughout the recruitment process, including job postings, candidate status changes, offer preparation, and onboarding/new hire paperwork processing * Assist with preparation and facilitation of virtual and in-person interview days, including coordination of interview execution, Yello scheduling and setup, virtual interview links and evaluations, room reservations, catering, printing and collating interviewer/candidate packs, materials preparation, and post-interview tracking and evaluation processing * Process recruiting related expenses and candidate reimbursements * Maintain recruiting calendars, internal recruiting site, recruiting documents, and candidate trackers * Assist with resume screening and sorting * Assist Recruiters and teams with preparation and execution of recruiting events, occasionally working outside standard hours to support said events * Organize the shipping and delivery of all marketing materials (e.g., brochures, conference banners, giveaways) and manage inventory * Support other recruiting programs, national events and other special projects as needed and occasionally with remote teams * Support the firm's affinity networks and help connect interested candidates with employees and programming that provide insight into the firm and recruiting process. * Support digital marketing efforts, including planning and running digital campaigns and webinars; familiarity with virtual event platforms such as Webex preferred * Travel to the office two days per week, and as needed to support recruiting events Who you are After nearly 100 years, we know this business is fundamentally about making connections-between facts, figures, insights, strategies, tools, technologies, and above all, people. That's why we look for collaborative, insightful, and inquisitive problem-solvers who don't accept the first thing in front of them and who are always unapologetically themselves. We want to hear from you if you have: * A bachelor's degree or equivalent 4-year degree required * One year of experience (preferred) * Interest in recruiting and marketing, required * Strong interpersonal, organizational and communication skills * The ability to interact effectively at all levels, including candidates and senior leaders of the organization * Are highly motivated and proactive team player who is eager to learn * Commitment to providing excellent work in a very fast-paced environment * The ability to drive and deliver on tasks independently * Proficiency in Microsoft Office, including Excel, Outlook and PowerPoint * Familiarity with social media and networking platforms like Instagram and LinkedIn preferred * Limited travel will be required Campus Recruiting Assistant Compensation - $55,000-$65,000: It is important to note that at Kearney, it is not typical for an individual to be hired at the top of the range for their role. Individual salaries within each range are determined through a wide variety of factors including but not limited to education, experience, knowledge, and skills. Kearney reviews compensation regularly and may adjust base salaries to reflect market competitiveness. In addition to salary, individuals may be eligible for a discretionary performance bonus. Our full suite of benefits includes paid time off, paid sick time off, 401(k) match and profit sharing, medical, dental and vision coverage, healthcare concierge, backup child/adult care, annual employer HSA contribution, home office stipend, subsidized gym membership and annual wellness program, and leaves of absence when needed to support employees' physical, mental, and emotional well-being. Read more about our benefits and a career at Kearney.com/careers. Equal Employment Opportunity and Non-Discrimination Kearney prides itself on providing a culture that allows employees to bring their best selves to work every day. Our people can feel comfortable, confident, and joyful to do great things for our firm, our colleagues, and our clients. Kearney aims to build diverse capabilities to help our clients solve their most mission critical problems. Kearney is committed to building a diverse, unbiased, and inclusive workforce. Kearney is an equal opportunity employer; we recruit, hire, train, promote, develop, and provide other conditions of employment without regard to a person's gender identity or expression, sexual orientation, race, religion, age, national origin, disability, marital status, pregnancy status, veteran status, genetic information or any other differences consistent with applicable laws. This includes providing reasonable accommodation for disabilities, or religious beliefs and practices. Members of communities historically underrepresented in consulting are encouraged to apply. #LI-MP1

As a Principal at Kearney, you will be a key contributor to the growth and development of our Strategic Operations (SOP) practice as we offer honest advice and practical guidance to our Private Equity clients. Working alongside a dedicated and diverse set of people, you will work alongside our clients to define and implement strategies that will deliver both short-term results and longer-term competitiveness in this ever-changing market environment. Through unique hands-on experiences, you will broaden your knowledge across a breadth of topics while developing relationships with clients and colleagues across the firm. With the freedom to be yourself and recognition for what you bring to the table, you can put your purpose into action and help build a future that works for everyone, everywhere-as a Kearney Original. Who you are After nearly 100 years, we know this business is fundamentally about making connections-between facts, figures, insights, strategies, tools, technologies, and above all, people. That's why we look for collaborative, insightful, and inquisitive problem-solvers who don't accept the first thing in front of them and who are always unapologetically themselves. We want to hear from you if you: * Are insightful, inquisitive, collaborative. * Have manufacturing or procurement expertise coupled with experience working in Private Equity. * Have experience working in industry sectors that are relevant for our Private Equity business (e.g. industrials, chemicals, consumer/retail, and high-tech). * Have experience working as a Principal or equivalent level within a Management Consulting firm. * Have experience managing proposal writing efforts; participating in pitches for consulting work; developing new business within existing accounts through client relationships. * Are commercially oriented to generate/originate business and support business development pursuits. * Have large program delivery capabilities with demonstrated ability to independently lead high-impact engagement teams. * Have exceptional consulting skills (presentation, communication, analytics, problem solving, leadership, presence). * Are passionate about mentoring colleagues. * Are collaborative by nature and exhibit Kearney values. * Are fluent in English. What we can offer you Every day, our people work to be the difference for our clients, our communities, and our colleagues. Helping them make an impact, they are sustained by a competitive remuneration package plus comprehensive benefits and perks, including but not limited to: * Generous retirement/pension savings contributions * Comprehensive medical insurance for employees and immediate family * Gym membership discounts * Non-partner equity-based awards (for consulting managers and above) * Structured and on-the-job learning and development opportunities * Personalized opportunities including talent mobility, flexible work programs, and externships to help you chart a unique career journey to pursue your own personal and professional goals Principal Compensation - $245,000 - $270,000: However, it is important to note that at Kearney, it is not typical for an individual to be hired at the top of the range for their role. Individual salaries within each range are determined through a wide variety of factors including but not limited to education, experience, office location, knowledge and skills. Kearney reviews compensation regularly and may adjust base salaries to reflect market competitiveness. In addition to salary, individuals may be eligible for a discretionary performance bonus. Our full suite of benefits includes paid time off, paid sick time off, 401(k) match and profit sharing, medical, dental and vision coverage, healthcare concierge, backup child/adult care, annual employer HSA contribution, home office stipend, subsidized Wellhub and annual wellness program, and leaves of absence when needed to support employees' physical, mental, and emotional well-being. Read more about our benefits and a career at Kearney.com/careers. Equal employment opportunity and non-discrimination Kearney prides itself on providing a culture where our employees belong and thrive equally, which means our people feel comfort, confidence, and joy as they do great things for our firm, our colleagues, and our clients. That's why Kearney is committed to building a diverse workforce and inclusive environment. Kearney is an equal opportunity employer; we recruit, hire, train, promote, develop, and provide other conditions of employment without regard to a person's gender identity or expression, sexual orientation, race or ethnicity, religion, age, national origin, disability, marital status, pregnancy status, veteran status, genetic information, or any other differences consistent with applicable laws. This includes providing reasonable accommodation for disabilities or religious beliefs and practices. We encourage everyone to apply, including those who may not feel historically represented in consulting. Language Requirements English

Under general supervision of a Senior Equity Analyst, analyze and interpret clinical and equity-related data, conduct research and provide opinion on issues which may impact an investment decision. Conduct research studies of existing and potential investments in the biotech sector and develop investment theses. Analysis may focus on an individual security, clinical data, interviews with physician/industry experts, literature reviews, and critically evaluating clinical/scientific data. Identify and investigate pertinent factors influencing investment decisions. Quantify and interpret potential risks and rewards. Recommend acquiring, holding, or disposing of investments. Monitor designated investments to identify trends and conditions. The ideal candidate is client-service oriented, detail-oriented, and one who thrives in a team-driven and fast-paced environment. Job Description Responsibilities: Develops expertise on the biotechnology industry and individual biotech companies to assess the impact of clinical data readouts and other impactful news. Prepare and coordinate the completion of various data and analytics reports, including financial models for revenue and income forecasts, cash flow analysis, balance sheet, and quarterly projections. Assembles and analyzes clinical, scientific and other data to help inform investment ideas/ views on market outlook. Explores and develops a basic understanding of external developments or emerging issues and contribute to the evaluation of their potential impact on an investment recommendation. Build effective working relationships within the internal client organization, delivering high-quality professional services with guidance from senior colleagues. Develop own capabilities by participating in assessment and development activities as well as formal and informal training and coaching; gain or maintain external professional accreditation, where relevant, to improve performance and fulfill personal potential. Maintain an understanding of relevant technology, external regulation, and industry best practices through ongoing education, conferences, and reading specialist media. Skills: Works with general supervision on analyzing clinical data for use in reports to help guide decision making. Uses clear and effective verbal communications skills when required on expressing ideas, requesting actions or explaining complex recommendations. Communicates with internal and external clients in a clear, concise and compelling manner. Creates relevant, lucid and effective investment reports. Sufficient understanding of accounting and financial statement analysis. Independently supports business processes with comprehensive understanding and effective use of standard office equipment and standard software packages, while also providing guidance and training to others. Equivalent work experience or Ph.D/Md/PharmD required Biochemistry, Neuroscience, or other life science focus strongly preferred. Business/Finance grads with some life science career experience also considered. Data analytics/coding skills preferred. Licensing: You will be expected to obtain the Series SIE, 86/87, and 63 licenses within one year from your start date. Education Bachelor's: Biology (Required), Bachelor's: Chemistry (Required), Bachelor's: Neuroscience (Required) Work Experience General Experience - 3 to 6 years Certifications Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) Salary Range $80,000.00-$150,000.00 Travel Less than 25% Workstyle Hybrid 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. #LI-GA1

**One of the largest independent financial services firms in the country could** **be** **the** **place you build a career beyond your expectations.** Our focus is on providing trusted advice and tailored, sophisticated strategies for individuals and institutions. Raymond James Financial is a diversified holding company, headquartered in St. Petersburg, FL. Raymond James provides financial services to individuals, corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset management. At Raymond James, we are putting the power of perspectives into action and building an inclusive and diverse workforce that reflects our commitment to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships, and continuing education options. We strive to ensure everyone feels welcomed, valued, respected and heard so that you can fully contribute your unique talents for the benefit of clients, your career, our firm and our communities. Raymond James is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. **Department Overview** The Capital Markets & Advisory (CM&A) Technology Support team provides specialized technical assistance and process support to the Capital Markets division. The department ensures that Raymond James' investment banking, institutional sales, and trading platforms operate efficiently and securely. The team also collaborates with technology partners to enhance internal tools, streamline workflows, and resolve technical issues affecting day-to-day operations. By ensuring reliable systems performance and quick issue resolution, CM&A Tech Support plays a key role in maintaining productivity and compliance across the Capital Markets organization. **Seasonal Associate Job Summary** Under general supervision, the seasonal associate will support the department by assisting with day-to-day technology operations and project work. This role provides hands-on experience with enterprise systems used in Capital Markets while helping ensure smooth technical operations. The seasonal associate will assist with troubleshooting user technical issues, testing software updates, documenting support processes, imaging computers, and identifying opportunities to enhance efficiency across CM&A platforms. This is a temporary role. **Work Schedule:** Up to 40 hours per week for a limited time, determined by department need. **Start Date:** **June 1** **st** **2026** **End Date:** **August 7** **th** **2026** **Duties and Responsibilities** + Provide general technical and operational support to CM&A team members by documenting, tracking, andassistingwith the resolution of support requests + Assistwith testing, validation, and implementation of system updates and enhancements for CM&A applications and databases. + Create andmaintaindocumentation for technical procedures, workflows, and process improvements. + Partner with IT teams and business users toidentify, troubleshoot, and help resolve software or data-related issues. + Compile and analyze recurring system or process issues to recommend areas for improvement. + Contribute to departmental projects, administrative activities, and other assignments as directed by the manager. + Works independently on assigned projects and tasks, meeting all delivery deadlines. + Operates standard office equipment and uses required software applications. + Performs other duties and responsibilities as assigned. **Knowledge, Skills, and Abilities** **Knowledge** + Capital Markets operations andtradingsystems (preferred but notrequired). + IT service management principles (ticketing systems, incident response, escalation). + Standard business software applications, including Microsoft Office Suite (Word, Excel, Outlook, PowerPoint). + General concepts of system support, documentation, and process improvement. + Fundamental concepts, practices, and proceduresofa professional office environment. **Skil** **ls** + Analytical thinking and problem-solving toassistinidentifyingand resolving routine technical issues. + Communicating clearly and professionally, both verbally and in writing. + Using or quickly learning firm-specific tools and support platforms (e.g., Teams, ServiceNow, etc.). + Operating standard office equipment andusing orhaving the ability to learn,requiredsoftware applications. + Ability to work effectively as part of a virtual/hybrid team. **Ability** + Manage multiple tasks and meet deadlines in a fast-paced, dynamic environment. + Work effectively both independently and collaboratively within a hybrid team structure. + Apply attention to detail and accuracy in all assigned work. + Deliver excellent customer service andmaintainpositive working relationships with internal stakeholders. + Communicate effectively, both orally and in writing. + Establish andmaintaineffective working relationships. **Educational/** **Previous** **Experience Requirements** + Pursuing a Degree in Computer Science,MISor related field withaequivalent combination of education, training and/or experience as approved by Human Resources. **Licenses/Certifications** + Nonerequired. **Location** **Hybrid position - New York, NY office** + Notravelrequired.

**One of the largest independent financial services firms in the country could** **be** **the place you build a career beyond your expectations.** Our focus is on providing trusted advice and tailored, sophisticated strategies for individuals and institutions. Raymond James Financial is a diversified holding company, headquartered in St. Petersburg, FL. Raymond James provides financial services to individuals, corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset management. At Raymond James, we are putting the power of perspectives into action and building an inclusive and diverse workforce that reflects our commitment to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships, and continuing education options. We strive to ensure everyone feels welcomed, valued, respected, and heard so that you can fully contribute your unique talents for the benefit of clients, your career, our firm and our communities. Raymond James is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. **Department Overview** Raymond James Information Technology is a 1600+ associate organization headquartered in St. Petersburg, FL that nurtures an inclusive culture where everyone feels free to bring their best selves to work - unleashing the power of perspectives and unique talents to drive growth, improvement, and exceptional results. Our associates and leaders support the firm through a variety of strategic solutions that offer greater business efficiency, ensure data security and privacy, and support new business opportunities. We are committed to provide industry-leading financial services technology and support through a Service 1st culture for financial advisors and clients. Discover a place for talented technical professionals in the Tampa Bay | St. Pete area. **Job Summary** **ACCELERATED DEVELOPMENT PROGRAM, INFORMATION TECHNOLOGY** Embark on a journey in the Accelerated Development Program, designed for the best in Information Technology. This full-time opportunity serves as a launchpad to propel your career forward. Immerse yourself in our organization where teamwork is encouraged and celebrated! Under the guidance of Raymond James leaders and resident experts, you will sharpen your skills in a specific fundamental discipline while engaging in development workshops, hands-on projects, peer learning and mentorship opportunities. Our holistic professional development approach will prepare you for roles within software development. As you navigate through the program, you'll not only gain invaluable skills but also embody the vital cornerstones on which the technology team successfully operates. **SOFTWARE DEVELOPER** The Application Development program track runs for twelve months. Learn a development discipline such as Front-End, Back-End, Database, Robotic Process Automation (RPA), COBOL, Software Quality Management, or Cloud technologies to create innovative solutions that have a direct influence on the lives of advisors, their clients, and associates around the globe. Upon completion of the program, work will continue within the assigned discipline area. **Essential Duties and Responsibilities** + Specified projects and assignments, which may varybased on team alignment + Operates standard office equipment andis able touse required software applications + Performs other duties and responsibilities as assigned **Knowledge, Skills, and Abilities** **Knowledge of** + Algorithms, data structures, and computational complexity + Programming languages such as Java, C++, Python, etc. + Basic understanding of software engineering practices + Basic concepts, principles, and practices of an assigned business unit + Fundamental concepts, practices,and procedures of a professional office environment + Basic Microsoft Outlook,Wordand Excel Skills + Fundamental concepts of Financial Services **Skill in** + Active participation/leadership in a professional, community or academic organization + Relevant internships and/or work experience in applicable school or industry organizations + Strong record of academic achievement and interest in Information Technology + Ability todemonstrateexceptional analytical and problem-solving skills + Analytical thinking and problem solving + Executing tasks on a timeline **Ability to** + Troubleshoot and debug code + Test andvalidatesolutions + Prioritize tasks and execute deliverables + Work independently as well as on a team + Providea high levelof customer service + Establish andmaintainrelationships + Communicate effectively orally and in writing **Educational/** **Previous** **Experience Requirements** + Minimum of aBachelor's degree in Computer Science, Engineering, Management Information Systems, or applicable degreedemonstratingtechnical aptitude. + Minimum of three months of software development experience. + Any equivalent combination of experience, education, and/or training approved by Human Resources + Eligible applicants must be legally authorized to work in the US and not require visa sponsorship now or in the future (including beyond OPT/EAD). **Licenses/Certifications** + Nonerequired. **Location** **Hybrid position - St. Petersburg** **, FL** **or Jersey City, NJ** + No travelrequired.

**Essential Duties and Responsibilities** · Establishes and oversees the implementation of a risk management framework for the business unit, to include defining the business appetite for risk taking and establish appropriate controls. · Conducts and presents regular risk reviews in order to provide an independent perspective of the business and to keep pace with the changing business environment. · Builds trusted relationships with senior leadership, including executive management of the Private Client Group (PCG), the firm's wealth management unit, and Asset Management divisions, serving as a strategic and independent partner to evaluate, challenge, and guide business decisions. Continuously monitors and analyzes the businesses risk profile and tolerance to include daily risk monitoring across all relevant risk stripes including market, credit, liquidity and operational risks. · Identifies emerging risks and advises on risk mitigation strategies. · Leads the development and implementation of risk assessment and quantification models needed to risk manage the business. · Oversees and evolves risk reporting processes to enhance the accuracy and effectiveness of risk information. · Ensures the business risk management practices comply with regulatory requirements and industry best practices. Also, engages with regulators to provide essential risk context. · Reports risk-related data including risk exposure, compliance to risk policies, and effectiveness of current risk management strategies to the Board of Directors, senior management and various risk committees. · Collaborates with the business and other key stakeholders to evaluate the risk associated with potential mergers and acquisitions, new product offerings, and other initiatives. · Plays a central role in shaping the firm's 1LOD/2LOD risk governance model, helping define and clarify roles and responsibilities across the risk lifecycle. · Leads and scales a growing risk team, with responsibility for hiring, developing and managing talent aligned to the evolving needs of a growing organization. · Acts as a change agent within a transforming environment, setting strategic direction for risk management as the firm continues to deepen capabilities and platform expansion for advisors. · Performs other duties and responsibilities as assigned. **Qualifications:** **Knowledge, Skills, and Abilities** **Knowledge of:** · Advanced knowledge of risks and regulations in all aspects of the Private Client and Asset Management · Risk assessment methodologies · Risk governance structure and design · Risk policy and procedures · Infrastructure design, risk controls and segregation of duties · Relevant risk-based regulatory schemes including Basel I and Basel II and current rules under review · Sarbanes Oxley regulations · Software development processes · ISDA/CSA, and MBA documentation with the ability to provide advice on such documentation negotiation from the credit perspective · Securities/Private Client and Asset Management products and an understanding of the market standard risk management practices · Broker-dealer supervisory frameworks, retail investment platforms, and UHNW product risks including structured products, alternatives, and advisory platforms **Skill in:** · Risk operations, work processes, internal controls and banking regulations · Excellent communication skills to clearly articulate matters while working with internal and external clients · Planning and scheduling work to meet regulatory organizational and regulatory requirements · Identifying and applying appropriate monitoring procedures · Preparing oral and/or written reports · Making rule-based and analytical decisions · Project management skills and with experience to successfully complete long- and short-term projects · Analytical thinking with demonstrated experience identifying and quantifying complex problems and providing effective resolutions · Leading through change and ambiguity, and influencing cross-functional stakeholders without formal authority · Balancing independence and collaboration in a client- and business-facing role **Ability to:** · Author policies, procedures, and prepare risk reports for the Executive Committee, Board of Directors, and regulatory agencies as required · Read, analyze, and interpret complex documents · Respond effectively to the most sensitive inquiries or complaints · Deliver persuasive speeches and presentations on controversial or complex topics to top management, public groups, and the Board of Directors · Apply mathematical concepts such as probability and statistical inference, and fundamentals of plane and solid geometry and trigonometry · Apply concepts such as fractions, percentages, ratios, and proportions to practical situations · Define problems, collect data, establish facts, and draw valid conclusions · Effectively communicate verbally and in writing with management, customers, vendors and staff · Perform human resource management activities · Plan, assign, monitor, review, evaluate and lead the work of others · Coach and mentor others **Educational/Previous Experience Requirements** Education/Previous Experience: · Bachelor's Degree (B.A.), preferably in Mathematics, with a minimum of fifteen (15) years of financial services experience required · Experience in broker-dealer or wealth management firms preferred, especially with exposure to front-office or first-line risk roles in addition to second-line oversight · Demonstrated track record building or transforming risk functions and working with UHNW advisory businesses, structured product platforms, or alternative investments is strongly preferred **_Please note: This role is not eligible for immigration Work Visa sponsorship, either currently or in the future._**

**Essential Duties and Responsibilities** + Execution of the risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches across the country + Detailed documentation of testing in branch exam system and related work papers + Ensure prescribed sample methodologies are used and resulting sample sizes provide an adequate reflection of the activity being tested + Use professional judgement to know when to "ask the next question" as potential risk areas are identified + Apply the appropriate risk weight to a given testing activity and/or finding level + Clear communication of all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and complete any related follow up in a timely manner + Ensure risks and adverse trends are identified and escalated + Provide compliance support to business partners, as needed + Maintain regular interaction with Compliance and Supervision partners + Complete special and ad hoc reviews and projects, as identified, in a quality and timely manner + Provide guidance and mentoring to less-experienced peer group members **Knowledge, Skills, and Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams + Rules and regulations of the SEC, FINRA, and state securities regulatory agencies + Fundamental investment concepts, practices, and procedures used in the securities industry + Financial markets and products **Skill in:** + Thorough and balanced documentation of work product + Clear, concise, cross-functional communications, both written and oral + Identification of opportunities for the development, enhanced consistency, and ongoing maintenance of the branch exam program + Building strong relationships based on mutual respect, trust, and understanding + Establishing credibility with others, presenting oneself with confidence, and holding one's ground when faced with pushback + Delivering difficult messages with sensitivity, tact, and diplomacy + Proactive identification of emerging risk areas and/or adverse trends and escalations of same to exam management for suggestions on mitigation + Problem-solving in a complex environment + Effectively navigating the organization to obtain information and achieve objectives + Demonstrated proficiency in Microsoft Word and Excel **Ability to:** + Work under pressure on multiple tasks concurrently in a fast-paced work environment + Manage time exceptionally well and remain highly organized + Gain a thorough understanding and application of PCG policies and procedures + Shift focus from one activity to another without impacting the quality of the work + Constructively handle disagreements or conflicts to reach a resolution + Apply industry experience to proactively identify and anticipate existing and emerging compliance risks + Work well independently, but also collaboratively with the team **Educational/Previous Experience Requirements** : + Bachelor's degree (B.A. /B.S.) and a minimum of three (3) years of licensed examination experience. ~or~ + Any equivalent combination of experience, education, and/or training approved by Human Resources. **Licenses/Certifications:** - Appropriate series license(s) for assigned functional area required or the ability to obtain within an established timeframe. o Required to have a Series 7, 24 or willing to obtain within 120 days of employment o Series 9 and 10 can be used instead of the 24 - Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.

Celebrating more than 60 years of rich history and recognition for service and excellence in the Financial Services industry, Raymond James is seeking a dynamic Client Service Associate who is a motivated, detail oriented and creative problem solver to join our growing team. This essential role helps to provide high quality/high touch critical administrative support to Financial Advisors, their prospective and existing clients and other branch staff team members. The ideal candidate will have effective communication skills across multiple platforms (phone, email, in-person, virtual), as well as the ability to organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment. Come grow with us and see where a career at Raymond James could take you! **Due to pay transparency, our roles auto-populate with Federal minimums. However, the office has determined the appropriate range for this position to be $65,000.00 to $85,000.00 base salary with a potential for supplemental income.** **Essential Duties and Responsibilities** + Services a high volume of daily interactions, including basic inquiries and scheduling of meetings, with prospective and existing clients on the phone, in-person, virtually and through mailings. + Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office. + With a high level of organization and accuracy, processes client financial transactions and financial advisor and branch office expenses and expense reports. + Opens new client accounts and researches client and security information using internal databases and other technologies. + For proper maintenance and to meet firm and industry requirements, ensures client paperwork and documentation is accurate and correct prior to submission and processing. Follows up to ensure accurate completion. + Prepares letters, forms and reports to assist with servicing existing clients and prospecting for new clients. + Prepares various business summary reports and client-specific reporting as needed for review by the financial advisor. + Creates and maintains records and files utilizing Client Relationship Management (CRM) software. + Assists Financial Advisors with marketing efforts including seminars and other client-facing events. + May enter orders at the direction of the Financial Advisor. + Actively engages in available training/cross-training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures. + Performs other duties and responsibilities as assigned. **Knowledge of** + Company's working structure, policies, mission, and strategies. + General office practices, procedures, and methods. + Investment concepts, practices and procedures used in the securities industry. + Financial markets, products and industry regulations. **Skill in** + Client Relationship Management (CRM) software, or similar contact management software. + Excel, including developing spreadsheets as needed and for ongoing reporting. + Effective communication across multiple client interactive platforms (in-person, virtual, phone and mail) **Ability to** + Operate standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases. + Analyze and research account information. + Organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment. + Identify time sensitive items and assess competing priorities. + Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns. + Handle stressful situations and provide a high level of customer service in a calm and professional manner. + Analyze problems and establish solutions in a fast paced environment. + Use mathematics sufficient to process account and transaction information. + Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels, in person and virtually. + Work both independently and as part of a cohesive team. + Provide a high level of customer service. **Education/Previous Experience** **College Degree Preferred** + High School Diploma or equivalent and one (1) or more years securities industry or related work experience preferred or an equivalent combination of experience, education, and/or training as approved by Human Resources.

Under administrative supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance to independently lead and support the design, implementation and supervision of a comprehensive compliance program with focus on Equity Research and Investment Banking matters. Leads major projects, programs or processes with significant business impact. Supervises others to perform difficult assignments that are broad in nature. Influences strategic direction and develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Maintains extensive contact with customers and regulatory agencies to identify, research, analyze and resolve complex issues. Job Description Essential Duties and Responsibilities Provide Equity Capital Markets (ECM), Equity Research and Investment Banking advisory and monitoring functions Identify and manage regulatory risks associated with ECM, Investment Banking and Research Interact with members of ECM/IB/Sales/Research for advice related to IPO/Follow-On Equity offerings (e.g. Reg M, deal marketing, SPACs) Daily engagement with Senior Managing Directors and Managing Directors from the business Assist with Conflict of Interest checks Have extensive knowledge of varying forms of equity underwritings including private placements, syndicate matters, and Reg M Develops and maintains compliance programs, systems, policies and procedures to ensure compliance with federal, state and self-regulatory regulations. Minimizes the firm's risk exposure while balancing business concerns. Coaches and mentors subordinates, identifies training needs and recommends appropriate development programs. Maintains the required compliance systems for the firm while fostering positive business relationships with department associates and branch associates/affiliates. Serves as the primary liaison between the organization and industry regulators by responding to inquiries, audits, complaints and investigations. Reviews compliance and risk management controls and recommends appropriate changes, as required. Coordinates the preparation and submission of regulatory filings and maintains required compliance documents. Serves as a subject matter expert on compliance issues by maintaining proficient knowledge of applicable compliance statutory regulations and interpretations. May oversee compliance exception reporting processes and take appropriate action, as required. Draft and update written supervisory procedure manuals required by the SEC. Continually evaluates the department structure and strategic plan, considering future growth. Promotes overall efficiency while maintaining a commitment to compliance standards and excellent service. Ensures processes and procedures support efficient and timely workflow. Performs other duties and responsibilities as assigned. Knowledge, Skills, and Abilities Advanced Knowledge of: Concepts, practices and procedures of securities industry compliance. Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies, specifically FINRA 2241 and SEA - Section 5, SEC Rules 138/139, Reg M Financial markets and products. Investment concepts, practices and procedures used in the securities industry. Advanced Skill in: Administering regulatory notifications and filings. Planning and scheduling work to meet regulatory organizational and regulatory requirements. Investigating compliances issues and irregularities. Making rule-based and analytical decisions. Identifying and applying appropriate compliance monitoring procedures and tests. Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally. Preparing oral and/or written reports. Project management skills and experience sufficient to successfully complete long and short term projects. Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases. Ability to: Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities. Attend to detail while maintaining a big picture orientation. Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives. Establish and communicate clear directions and priorities. Gather information, identify linkages and trends and apply findings to operations. Maintain currency in laws, rules and regulations related to compliance in assigned functional area (s). Plan, assign, monitor, review, evaluate and lead the work of others; coach and mentor others. Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates. Work independently as well as collaboratively within a team environment to resolve problem. Educational/Previous Experience Requirements Bachelor's Degree (B.A./B.S.) in a related discipline required with a Master's degree preferred. Minimum of twelve (12) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry. Minimum ten (10) years management experience within the financial services industry. ~or~ Any equivalent combination of experience, education, and/or training approved by Human Resources. Licenses/Certifications None Required. Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred. Education Work Experience Certifications Salary Range $175,000.00-$250,000.00 Travel Less than 25% Workstyle Hybrid 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. #LI-AF1

Under general supervision, the Underwriting Assistant supports the municipal underwriting team at Raymond James Financial by coordinating, reviewing, and executing processes associated with competitive and negotiated municipal bond transactions. Responsibilities include reviewing preliminary official statements for accuracy and completeness, processing new issue pricings, and submitting regulatory filings. The role requires frequent interaction with internal stakeholders and external partners to identify, research, and resolve issues efficiently. The Underwriting Assistant also contributes to ongoing process improvements and enhancements to internal controls. Job Description Essential Duties and Responsibilities • Perform all operational and administrative functions related to managed and/or syndicated negotiated and competitive municipal underwritings. • Update transaction information in various internal and external systems. • Work with FI associates to maintain strong internal and external client relationships. • Track rates and pricing adjustments; communicate changes to the sales force. • Provide data and support to bankers for Requests for Proposals (RFPs) and Post-Sale Analyses. • Keep syndicate members informed regarding pricing, allotments, and regulatory reporting for managed deals. • Utilize third-party systems such as Bloomberg, Ipreo, BidComp, and NIIDs. • Perform additional duties and responsibilities as assigned. Knowledge, Skills, and Abilities Knowledge of: • Raymond James' organizational structure, policies, mission, and strategies. • Standard securities industry practices and procedures. • Fixed Income concepts, practices, and operations. • Principles of banking, finance, and securities operations. • Financial markets and related products. Skill in: • Understanding municipal regulatory and compliance requirements. • Analyzing, evaluating, and interpreting financial documents and data. • Identifying relationships, drawing logical conclusions, and presenting results clearly. • Delivering high-level customer service to internal sales teams and bankers, including timely communication and effective time management. • Using standard office tools and software, including Microsoft Office and Access databases. Ability to: • Read, interpret, analyze, and apply information from industry data. • Manage multiple detailed tasks under tight deadlines in a fast-paced environment. • Communicate clearly, professionally, and effectively across all organizational levels. • Maintain attention to detail while understanding broader objectives. • Work both independently and collaboratively. • Present a professional and positive demeanor. • Convey information effectively through formal reports and informal communication. Education and Experience • Bachelor's degree (preferred), or • High school diploma with a minimum of five years of administrative or operations support experience (Financial Services industry preferred), or • Equivalent combination of education, experience, and/or training approved by HR. Licenses and Certifications • None required at hire. • Series 52 and Series 63 expected within 1 year. Education High School (HS) (Required) Work Experience General Experience - 3 to 6 years Certifications Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) Salary Range $55,000.00-$119,995.20 Travel 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.

** The Commercial Real Estate (CRE) Credit Portfolio Manager assists the relationship managers with the underwriting of new and existing relationships to ensure the Bank maintains high credit quality and to provide more time for the relationship managers to generate new business opportunities. **Primary Functions of the** **Position:** + Underwrites requests for credit extensions to new and existing clients (new money business) + Performs detailed financial analysis for CRE and, on occasion, personal lending opportunities + Prepares the following for presentation to Senior Loan Committee: + Credit Approval Request (CAR) + Modifications + Covenant Waivers/Amendments + Accurate and Timely Risk Rating + Assessment of Real Estate Sponsorship + Ensures compliance with the Bank's credit policies and procedures, identifying exceptions for approval as they occur + In collaboration with RM and Closer, facilitates Pre-Close Kick off Call between Closer, Portfolio Manager, Bank Counsel, Borrower Counsel and other parties. + Ensures final loan documentation is consistent with credit approvals prior to closing. + Accompanies the relationship manager on prospect / client calls when appropriate **Education and Experience** **Requirements:** + Bachelor's Degree in Finance, Accounting, or related field + Minimum of 5 years of credit analysis and underwriting experience + Completion of a bank commercial credit training program and experience analyzing commercial / residential real estate projects (income producing properties including retail, office, industrial and multi-family; land acquisition and development loans, and construction loans) strongly preferred **Essential Skills and** **Abilities:** + Demonstrated knowledge of investment commercial real estate finance for multiple loan and property types + Excellent organization skills, attention to detail and the ability to work in a fast-paced environment and complete assignments in a timely manner with minimal direction + Strong written and verbal communication skills + Strong presentation skills + Ability to work independently and within a team + Proficient in various spreadsheet and word processing applications, including the use of graphs and charts

Job Description The Campus Recruiting Coordinator will support and help drive campus recruiting efforts for the North America recruiting organization. This role partners closely with School Recruiters, Recruiting Managers, and broader recruiting teams to execute high-quality campus programs, interviews, and events. The Campus Recruiting Coordinator will manage key operational components of the recruiting lifecycle, lead smaller programmatic efforts, and contribute to continuous improvement across recruiting processes. Flexibility, strong organizational skills, and the ability to manage multiple priorities are essential. Key Responsibilities * Manage the applicant tracking system (Taleo) across the recruitment lifecycle, including requisition and job posting support, candidate status updates, interview scheduling steps, and offer documentation support * Responsible for administrative and recruiting tasks of increased complexity and visibility, operating with minimal supervision; may coach or train Recruiting Assistant(s) as needed, without direct supervisory responsibility * Support candidate communications and logistics for interviews and travel * Manage interview scheduling tools (e.g., Yello), including scheduling workflows, virtual interview links, interviewer assignments, evaluations, and day-of troubleshooting * Assist School Recruiters and recruiting teams with preparation for campus events, including space reservations, catering, printing, and shipping of materials * Lead smaller elements of national recruiting programs and events (e.g., summer programs, virtual recruiting efforts, affinity network initiatives) and comfortable being the primary recruiting support and contact at events * Support and lead elements of affinity networks; both with network recruiting efforts and virtual or in person events * Support and lead elements of the national Summer Consultant Program (SCP), run office events, and other SCP programming * Maintain a working knowledge of the firm's organization, including geographic and departmental staffing * Manage Way of Interview training and support the Recruiting Selection Committee process * Assist with resume screening, sorting, and candidate dispositioning * Run full cycle small recruiting pipelines for our virtual recruiting efforts during peak season * Build and maintain Excel-based trackers and dashboards to support reporting, visibility, and process efficiency * Take on additional recruiting projects as needed and, when required, step in to support Recruiting Assistant-level activities to ensure continuity of operations * Travel to the office two days per week, and as needed to support recruiting events Who You Are After nearly 100 years, we know this business is fundamentally about making connections-between facts, figures, insights, strategies, tools, technologies, and above all, people. We look for collaborative, thoughtful, and proactive problem-solvers who are comfortable managing details while contributing to broader recruiting goals. We want to hear from you if you have: * Bachelor's degree or equivalent 4-year degree required * 2-3 years of experience in campus recruiting or talent acquisition * Exceptional organizational skills with strong attention to detail * Advanced Excel skills, including building trackers and dashboards * Strong interpersonal and communication skills * Ability to interact effectively with candidates, recruiters, and senior stakeholders * Ability to manage tasks independently and prioritize effectively in a fast-paced environment * Proficiency in Microsoft Office, including Excel, Outlook, and PowerPoint * Familiarity with social media and networking platforms such as LinkedIn and Instagram preferred * Limited travel may be required Campus Recruiting Coordinator Compensation - $65,000-$75,000: It is important to note that at Kearney, it is not typical for an individual to be hired at the top of the range for their role. Individual salaries within each range are determined through a wide variety of factors including but not limited to education, experience, knowledge and skills. Kearney reviews compensation regularly and may adjust base salaries to reflect market competitiveness. In addition to salary, individuals may be eligible for a discretionary performance bonus. Our full suite of benefits includes paid time off, paid sick time off, 401(k) match and profit sharing, medical, dental and vision coverage, healthcare concierge, backup child/adult care, annual employer HSA contribution, home office stipend, subsidized gym membership and annual wellness program, and leaves of absence when needed to support employees' physical, mental, and emotional well-being. Read more about our benefits and a career at Kearney.com/careers. Equal Employment Opportunity and Non-Discrimination Kearney prides itself on providing a culture that allows employees to bring their best selves to work every day. Our people can feel comfortable, confident, and joyful to do great things for our firm, our colleagues, and our clients. Kearney aims to build diverse capabilities to help our clients solve their most mission critical problems. Kearney is committed to building a diverse, unbiased and inclusive workforce. Kearney is an equal opportunity employer; we recruit, hire, train, promote, develop, and provide other conditions of employment without regard to a person's gender identity or expression, sexual orientation, race, religion, age, national origin, disability, marital status, pregnancy status, veteran status, genetic information or any other differences consistent with applicable laws. This includes providing reasonable accommodation for disabilities, or religious beliefs and practices. Members of communities historically underrepresented in consulting are encouraged to apply.

Responsibilities: Collate and analyze data using preset tools, methods, and formats. Involves working independently. Contribute to the development and delivery of financial policies, guidelines, and protocols to ensure the company complies with regulations and good financial practice. Support the investment team on more-complex activities by monitoring financial performance and preparing ad hoc reports using a wide variety of existing processes, procedures, and precedents. Advise managers how to apply a wide variety of existing procedures and precedents. Resolve queries from internal or external customers or suppliers by providing information on complex processes and the related policies, referring issues to others where necessary for interpretation of policy. Organize and prepare complex documents using a variety of applications for technology devices, such as standard office software. Also responsible for gathering and summarizing data for special reports. Build effective working relationships within the internal client organization, delivering high-quality professional services with guidance from senior colleagues. Develop own capabilities by participating in assessment and development planning activities as well as formal and informal training and coaching; gain or maintain external professional accreditation, where relevant, to improve performance and fulfill personal potential. Maintain an understanding of relevant technology, external regulation, and industry best practices through ongoing education, attending conferences, and reading specialist media. Interpret data and identify possible answers. Involves navigating a wide variety of processes, procedures, and precedents. Assign short-term work schedules to a team of subordinates in order to achieve expectations while following established timelines. Investigate questions relating to existing programs, processes, and procedures. Help senior colleagues manage internal client and customer relationships by using relevant sales or client systems. Help senior colleagues manage client and customer relationships by using relevant sales or client systems. Skills: Works without supervision and provides technical guidance when required on analyzing data trends for use in reports to help guide decision making. Uses clear and effective verbal communications skills without supervision and provides technical guidance when required on expressing ideas, requesting actions and formulating plans or policies. Supports business processes without supervision by understanding and effectively using standard office equipment and standard software packages, while providing technical guidance as needed. Works without supervision and provides technical guidance when required on developing, monitoring, interpreting and understanding policies and procedures, while making sure they match organizational strategies and objectives. Works without supervision and provides technical guidance when required on developing appropriate plans or performing necessary actions based on recommendations and requirements. Works without supervision and provides technical guidance when required on analyzing data from multiple sources to draw appropriate conclusions and make suitable recommendations. Works without supervision and provides technical guidance when required on achieving full compliance with applicable rules and regulations in management and/or operations. Works without supervision and provides technical guidance when required on planning, organizing, prioritizing and overseeing activities to efficiently meet business objectives. Works without supervision and provides technical guidance when required on interpreting and applying knowledge of laws, regulations and policies in area of expertise. Works without supervision and provides technical guidance when required on managing client accounts in a way that provides benefits both for the organization and its clients. Works with full competence to analyze potential solutions and create recommendations based on the expected benefits, costs, and overall value of the solution for key stakeholders. Typically works without supervision and may provide technical guidance. Conducts research and analyzes data without supervision while providing technical guidance as needed in order to develop a comprehensive understanding of customer and market conditions that enables maximum return on investments. Works without supervision and provides technical guidance when required on acquiring, organizing, protecting and processing data to fulfill business objectives. Works with full competence to envision and document the future state of processes and products by identifying the solution scope, potential value of the future state, and the changes to the process, products, organization infrastructure, capabilities, and technology necessary to achieve the desired future state. Typically works without supervision and may provide technical guidance. Communicates with other people without requiring supervision and provides technical guidance when required on speaking in a clear, concise and compelling manner. Works with full competence to interpret, contribute to, or lead business case creation with client departments to quantify current costs, justify project investment, and identify the return on investment. Typically works without supervision and may provide technical guidance. Works without supervision and provides technical guidance when required to explore the depth and breadth of a problem, draw out the implications of not changing, and help clients self-discover and articulate the value of a solution. Works without supervision and provides technical guidance when required to uncover clients' explicit needs and/or unforeseen opportunities and challenges. Works with full competence to understand business context, needs, rules, and architecture, as well as organizational structure, cultures, capabilities, and processes to document the current state of processes and the business. Typically works without supervision and may provide technical guidance. Works with full competence to conduct gap analysis between current and future states to identify components of the overall change strategy. Typically works without supervision and may provide technical guidance. Works without supervision and provides technical guidance when required to orient the seller's organization around delivering to the key needs of their customers.

As part of our Fixed Income development team at SumRidge Partners (a company of Raymond James), this Lead Developer will analyze business requirements and drive research to design technical solutions that support our SumRidge Trading System. In this role, you will be responsible for performing activities associated with all stages of SDLC and collaborate with team members and various stakeholders. **Department Overview:** SumRidge Partners LLC is a top ranked fixed income electronic market maker, specializing in high yield and investment grade corporate bonds, municipal bonds, institutional preferred securities, and emerging market bonds. SumRidge currently ranks among the top liquidity providers on most major electronic bond exchanges, leveraging the firm's technological strengths and an experienced sales and trading team. **Responsibilities:** + Enhance existing applications and contribute to development of new applications by analyzing and identifying areas for modification and improvement. Develop new routine applications to meet business requirements. + Monitor, identify, and correct more complex software defects to maintain fully functioning applications software. + Partner with a cross-functional team to imagine, design, develop, and test. + Participate in the development, code reviews, testing, deployment, and delivery of large-scale software applications, systems, and services. + Build relationships with Development Managers, Engineers, Business Analysts, and Project Managers across various teams. + Stay up to date with tools, trends, technologies and frameworks and develop proof of concepts. + Makes recommendations towards the development of new code or to reuse of existing code. + Participates in software system testing and validation procedures, programming and documentation. + Reviews test results; documents test activities, and records remedial actions. + Ensures proper analysis of problems and programming approaches to prevent rework and schedule slippage. + May occasionally work a non-standard shift including nights and/or weekends and/or have on-call responsibilities. + Performs other duties and responsibilities as assigned. **Skills/Previous Experience:** + Bachelor's degree in Computer Science, Information Technology, or related field (or equivalent experience). + More than five (5) years of experience in Design, Development and Support of Data-Driven, all aspects of SDLC in a highly scalable multi-tier applications in distributed environments. + Proven experience working as a Senior Java/J2EE Developer in Financial Services is required. + Fixed Income Trading or Electronic Trading knowledge is strongly preferred. + Solid experience in working with all stages of SDLC. + Solid background in Java/J2EE programming. + Strong background in Oracle PL/SQL. + Familiar with Spring Framework and ORM framework. + Experience in Java application containers, such as Apache Tomcat. + Experience with Kafka is preferred. + Understanding of Tick Database and Solace is plus. + Excellent communication skills with ability to coordinate with all stake holders of the application (Peers, IT Partners, Business Operations and Vendors). **Licenses/Certifications:** + None required.

Responsibilities: + Develops expertise on the biotechnology industry and individual biotech companies to assess the impact of clinical data readouts and other impactful news. + Prepare and coordinate the completion of various data and analytics reports, including financial models for revenue and income forecasts, cash flow analysis, balance sheet, and quarterly projections. + Assembles and analyzes clinical, scientific and other data to help inform investment ideas/ views on market outlook. + Explores and develops a basic understanding of external developments or emerging issues and contribute to the evaluation of their potential impact on an investment recommendation. + Build effective working relationships within the internal client organization, delivering high-quality professional services with guidance from senior colleagues. + Develop own capabilities by participating in assessment and development activities as well as formal and informal training and coaching; gain or maintain external professional accreditation, where relevant, to improve performance and fulfill personal potential. + Maintain an understanding of relevant technology, external regulation, and industry best practices through ongoing education, conferences, and reading specialist media. Skills: + Works with general supervision on analyzing clinical data for use in reports to help guide decision making. + Uses clear and effective verbal communications skills when required on expressing ideas, requesting actions or explaining complex recommendations. + Communicates with internal and external clients in a clear, concise and compelling manner. + Creates relevant, lucid and effective investment reports. + Sufficient understanding of accounting and financial statement analysis. + Independently supports business processes with comprehensive understanding and effective use of standard office equipment and standard software packages, while also providing guidance and training to others. + Equivalent work experience or Ph.D/Md/PharmD required + Biochemistry, Neuroscience, or other life science focus strongly preferred. Business/Finance grads with some life science career experience also considered. + Data analytics/coding skills preferred. Licensing: + You will be expected to obtain the Series SIE, 86/87, and 63 licenses within one year from your start date.

Follow established procedures to perform tasks and receive general guidance and direction to perform other work with substantial variety and varied complexity. Some judgment is required to adapt procedures, processes, and techniques to apply to more complex assignments. Job Description Raymond James Overview One of the largest independent financial services firms in the country could be the place you build a career beyond your expectations. Our focus is on providing trusted advice and tailored, sophisticated strategies for individuals and institutions. Raymond James Financial is a diversified holding company, headquartered in St. Petersburg, FL. Raymond James provides financial services to individuals, corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset management. At Raymond James, we are putting the power of perspectives into action and building an inclusive and diverse workforce that reflects our commitment to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships, and continuing education options. We strive to ensure everyone feels welcomed, valued, respected and heard so that you can fully contribute your unique talents for the benefit of clients, your career, our firm and our communities. Raymond James is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. Department Overview The Capital Markets & Advisory (CM&A) Technology Support team provides specialized technical assistance and process support to the Capital Markets division. The department ensures that Raymond James' investment banking, institutional sales, and trading platforms operate efficiently and securely. The team also collaborates with technology partners to enhance internal tools, streamline workflows, and resolve technical issues affecting day-to-day operations. By ensuring reliable systems performance and quick issue resolution, CM&A Tech Support plays a key role in maintaining productivity and compliance across the Capital Markets organization. Seasonal Associate Job Summary Under general supervision, the seasonal associate will support the department by assisting with day-to-day technology operations and project work. This role provides hands-on experience with enterprise systems used in Capital Markets while helping ensure smooth technical operations. The seasonal associate will assist with troubleshooting user technical issues, testing software updates, documenting support processes, imaging computers, and identifying opportunities to enhance efficiency across CM&A platforms. This is a temporary role. Work Schedule: Up to 40 hours per week for a limited time, determined by department need. Start Date: June 1st 2026 End Date: August 7th 2026 Duties and Responsibilities Provide general technical and operational support to CM&A team members by documenting, tracking, and assisting with the resolution of support requests Assist with testing, validation, and implementation of system updates and enhancements for CM&A applications and databases. Create and maintain documentation for technical procedures, workflows, and process improvements. Partner with IT teams and business users to identify, troubleshoot, and help resolve software or data-related issues. Compile and analyze recurring system or process issues to recommend areas for improvement. Contribute to departmental projects, administrative activities, and other assignments as directed by the manager. Works independently on assigned projects and tasks, meeting all delivery deadlines. Operates standard office equipment and uses required software applications. Performs other duties and responsibilities as assigned. Knowledge, Skills, and Abilities Knowledge Capital Markets operations and trading systems (preferred but not required). IT service management principles (ticketing systems, incident response, escalation). Standard business software applications, including Microsoft Office Suite (Word, Excel, Outlook, PowerPoint). General concepts of system support, documentation, and process improvement. Fundamental concepts, practices, and procedures of a professional office environment. Skills Analytical thinking and problem-solving to assist in identifying and resolving routine technical issues. Communicating clearly and professionally, both verbally and in writing. Using or quickly learning firm-specific tools and support platforms (e.g., Teams, ServiceNow, etc.). Operating standard office equipment and using or having the ability to learn, required software applications. Ability to work effectively as part of a virtual/hybrid team. Ability Manage multiple tasks and meet deadlines in a fast-paced, dynamic environment. Work effectively both independently and collaboratively within a hybrid team structure. Apply attention to detail and accuracy in all assigned work. Deliver excellent customer service and maintain positive working relationships with internal stakeholders. Communicate effectively, both orally and in writing. Establish and maintain effective working relationships. Educational/Previous Experience Requirements Pursuing a Degree in Computer Science, MIS or related field with a equivalent combination of education, training and/or experience as approved by Human Resources. Licenses/Certifications None required. Location Hybrid position - New York, NY office No travel required. Education High School (HS) (Required) Work Experience General Experience - 4 to 6 months Salary Range $32,240.00-$52,000.00 Workstyle Hybrid 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.

Responsibilities: + Make authoritative recommendations about technical or professional solutions that would significantly improve business performance. + Develop innovative solutions by integrating and analyzing complex and diverse information sources. + Make authoritative recommendations that have a significant impact on the business over the short and long term. Recommendations could be technical or professional in nature. + Develop functional or operational policies and help develop policy frameworks for area of responsibility or department. Take responsibility for creating underlying procedures and monitoring their implementation. + Manage a range of investment portfolios through in-depth market and sector analysis while maintaining a wide range of external relationships. Participate in the formulation and evolution of general investment policy. + Work on complex administrative processes and databases to develop and test administrative procedures to ensure they are fully in line with organizational needs. + Develop short- or medium-term work schedules in order to achieve planned commitments. Approve overtime or use additional resources as needed. + Build complex frameworks to fully assess the scope and context of short-term and long-term business needs. + Act as a business partner to important internal customers and manage relationships with them, while taking guidance from senior colleagues. + Develop and/or deliver a plan for significant aspects of internal communications with guidance from senior colleagues. + Develop and write materials that are highly visible, such as sensitive press releases or speeches to critical audiences. + Develop and/or deliver a contingency plan for significant aspects of the risk management and/or risk control processes. Skills: + Acts as the organization's authority and established expert on understanding and using standard office equipment and standard software packages to support business processes. + Acts as the organizational authority and established expert on analyzing data trends for use in reports to help guide decision making. + Acts with expertise as the organization's authority on using clear and effective verbal communications skills to express ideas, request actions and formulate plans or policies. + Uses expertise to act as organizational authority on planning, organizing, prioritizing and overseeing activities to efficiently meet business objectives. + Uses expertise to act as the organizational authority on developing, monitoring, interpreting and understanding policies and procedures, while making sure they match organizational strategies and objectives. + Applies expertise to act as the organizational authority on developing appropriate plans or performing necessary actions based on recommendations and requirements. + Uses an expert understanding of numerical concepts to act as organizational authority on performing mathematical operations such as report analysis. + Acts as the organizational authority and established expert on interpreting and applying knowledge of laws, regulations and policies in area of expertise. + Acts as the organizational authority and established expert on acquiring, organizing, protecting and processing data to fulfill business objectives. + Uses comprehensive knowledge and skills to act independently while guiding and training others on managing client accounts in a way that provides benefits both for the organization and its clients. + Works at an advanced level to analyze potential solutions and create recommendations based on the expected benefits, costs, and overall value of the solution for key stakeholders. Typically works independently and provides guidance. + Works at an advanced level to understand business context, needs, rules, and architecture, as well as organizational structure, cultures, capabilities, and processes to document the current state of processes and the business. Typically works independently and provides guidance. + Works at an advanced level to interpret, contribute to, or lead business case creation with client departments to quantify current costs, justify project investment, and identify the return on investment. Typically works independently and provides guidance. + Acts independently using comprehensive knowledge and/or skills to conduct research and analyze data while guiding and training others on how to develop a comprehensive understanding of customer and market conditions that enables maximum return on investments. + Uses comprehensive knowledge and skills to act independently while guiding and training others to orient the seller's organization around delivering to the key needs of their customers. + Works at an advanced level to envision and document the future state of processes and products by identifying the solution scope, potential value of the future state, and the changes to the process, products, organization infrastructure, capabilities, and technology necessary to achieve the desired future state. Typically works independently and provides guidance. + Uses comprehensive knowledge and skills to act independently while guiding and training others to explore the depth and breadth of a problem, draw out the implications of not changing, and help clients self-discover and articulate the value of a solution. + Works at an advanced level to conduct gap analysis between current and future states to identify components of the overall change strategy. Typically works independently and provides guidance. + Uses comprehensive knowledge and skills to act independently while guiding and training others to uncover clients' explicit needs and/or unforeseen opportunities and challenges.

Essential Duties and Responsibilities - Perform all operational and administrative functions related to managed and/or syndicated negotiated and competitive municipal underwritings. - Update transaction information in various internal and external systems. - Work with FI associates to maintain strong internal and external client relationships. - Track rates and pricing adjustments; communicate changes to the sales force. - Provide data and support to bankers for Requests for Proposals (RFPs) and Post-Sale Analyses. - Keep syndicate members informed regarding pricing, allotments, and regulatory reporting for managed deals. - Utilize third-party systems such as Bloomberg, Ipreo, BidComp, and NIIDs. - Perform additional duties and responsibilities as assigned. Knowledge, Skills, and Abilities Knowledge of: - Raymond James' organizational structure, policies, mission, and strategies. - Standard securities industry practices and procedures. - Fixed Income concepts, practices, and operations. - Principles of banking, finance, and securities operations. - Financial markets and related products. Skill in: - Understanding municipal regulatory and compliance requirements. - Analyzing, evaluating, and interpreting financial documents and data. - Identifying relationships, drawing logical conclusions, and presenting results clearly. - Delivering high-level customer service to internal sales teams and bankers, including timely communication and effective time management. - Using standard office tools and software, including Microsoft Office and Access databases. Ability to: - Read, interpret, analyze, and apply information from industry data. - Manage multiple detailed tasks under tight deadlines in a fast-paced environment. - Communicate clearly, professionally, and effectively across all organizational levels. - Maintain attention to detail while understanding broader objectives. - Work both independently and collaboratively. - Present a professional and positive demeanor. - Convey information effectively through formal reports and informal communication. Education and Experience - Bachelor's degree (preferred), or - High school diploma with a minimum of five years of administrative or operations support experience (Financial Services industry preferred), or - Equivalent combination of education, experience, and/or training approved by HR. Licenses and Certifications - None required at hire. - Series 52 and Series 63 expected within 1 year.

Under limited direction with a high level of autonomy, the Vice President of RJF Risk Data & Analytics will support the technology, platforms, data and analytics of RJF Risk Management across all financial and non-financial risk stripes. Drive development of critical analytics used in day to day risk management in conjunction with Risk Stripe Leads and Segment Chief Risk Officers. Define risk technology infrastructure, data and tooling strategy in order to effectively identify, measure, monitor, control and report on risks on a timely and accurate basis. Recruit, train and lead teams responsible for working with RJF Risk stakeholders and Technology to design and implement enterprise-level risk platform solutions with significant business impact to multiple Raymond James' subsidiaries. Reporting to SVP of RJF Risk Management, this leader will regularly interact with federal and state regulators, Compliance, Audit, business unit executives, Raymond James enterprise technology functions and stakeholders across RJF Risk Management. Completes assignments with substantial latitude for autonomous actions or decisions. Please note: This role is not eligible for immigration Work Visa sponsorship, either currently or in the future. Essential Duties and Responsibilities Establish RJF Risk's systems and data solutions to align with changing regulatory and business environments in an effort to minimize the firm's risk exposure while balancing business concerns. Develop and maintain advanced risk analytics solutions to assess exposures in market, credit, collateral, and liquidity risk management. Work closely with risk and business teams to enhance methodologies for risk measurement and monitoring. Oversee the design, construction, and maintenance of dynamic data visualization tools and reports providing real-time insights into risk trends, including ad hoc reporting Lead the evaluation, replacement, selection, and implementation of vendor tooling across Risk (Financial and Non-financial), in partnership with RJF Technology Collaborate with key stakeholders to understand data and reporting requirements and serve as an executor on designing and building high-quality data solutions, including detailed end-to-end documentation of solution. Develop a deep understanding of Raymond James Financial's technology stack including, but not limited to data sources and storage, systems/data architecture, vendor tools, and the orchestration opportunities across the broader Risk technology ecosystem. Implement a comprehensive risk data strategy that ensures high-quality, consistent, and well-governed data across the risk organization. Ensure accurate and timely regulatory risk reporting and interface with regulatory bodies on data-related matters as required. Service provider approach that fosters collaboration and demonstrates a team player mentality Recruits, trains, mentors and manages staff, identifies training needs and creates development plans. Other projects and duties as assigned. Qualifications: Knowledge, Skills, and Abilities Knowledge of Federal Reserve, OCC, FINRA, SEC, and other relevant regulatory guidance Experienced in the implementation of new technologies and systems to enhance risk management capabilities. Toolsets could include: Python, (Pandas, statsmodel, plotly etc.) SQL, Alteryx, Qlik, Tableau, Domo, PowerBI, Github, Data Build Tool (dbt), Model Op, Snowflake, Azure, AWS, Redshift, Confluence, Azure DevOps Financial markets, products, financial advisory function, and investment process. Experienced in facilitating cross-functional collaboration to ensure alignment of risk management objectives with overall business goals. Experience providing requirements to technical teams (e.g., developers, program managers, data analysts, etc.) tasked with delivering RJF Risk technology transformation initiatives.* Concepts, principles, and best practices of agile project/program management. Skill in Preparing and delivering clear, effective, and professional presentations. Demonstrating strong communication skills in all aspects of role that influence individuals outside of his or her span of control. Articulating technical concepts in a way that is widely consumable and understood by non-technologists and senior leaders Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases. Strong analytical and problem-solving skills, and experience multitasking and managing multiple projects and short timelines. Ability to Channel a genuine love of technology and a passion for data toward innovative technical solutions that protect Raymond James and its clients. Build strong working relationships with staff, stakeholders, and senior management. Navigate competing priorities in a rapidly changing landscape leveraging software/tools Capable of context switching from technical analysis to program management and execution. Analyze problem/situation to determine needs, wants, and goals. Identify and lead project teams, including planning, assigning, monitoring, reviewing, and evaluating project activities. Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed. Attend to detail while maintaining a big picture orientation. Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment. Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels. Keep all appropriate parties updated on decisions, changes, and other relevant information. Education/Previous Experience Bachelor's degree (B.A.) from a four-year College or university or equivalent experience in Business, Finance, Computer Science, or related fields MBA or master's degree with strong academic credentials preferred Twelve (12) or more years' experience supporting technical teams Risk Management, enterprise technology and/or analytics in financial services, banking, asset management, FinTech, or consulting OR ~ Any equivalent combination of experience, education, and/or training. Strong understanding of risk-related regulatory requirements (e.g., OCC, FRB, FDIC, SEC, FINRA) and ability to apply data analytics to risk reporting and risk mitigation. Education Bachelor's: Applied Mathematics, Bachelor's: Business Administration, Bachelor's: Finance Work Experience General Experience - More than 15 years, Manager Experience - 10 to 15 years Certifications Salary Range $175,000.00-$250,000.00 Travel Less than 25% Workstyle Hybrid 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. #LI-TG1