Raymond James Financial jobs in Southfield, MI - 74 jobs

**Key Responsibilities:** + Conduct call evaluations to ensure compliance and service excellence. + Provide coaching and development to team members, fostering continuous improvement and skill growth. + Serve as a liaison for branch communications, ensuring clarity and alignment on quality standards. + Review and validate evaluations completed by other evaluators (SMEs and Supervisors) to maintain consistency and accuracy. + Act as the final decision-maker in dispute resolution related to call evaluations. + Monitor departmental inquiries and assess alignment with AI-generated responses, recommending updates as needed. + Serve as technical subject matter expert and liaison between internal teams, Legal, AML, and Compliance. + Analyze complex issues, interpret data trends, and implement effective solutions. + Act as primary contact for escalated inquiries from associates, clients, and branch personnel. + Develop and maintain departmental documentation, training materials, and job aids; facilitate training and mentor team members. + Direct workflows and support process improvements, including requirements gathering and testing. + Represent department on projects and lead cross-functional initiatives. + Ensure compliance with organizational policies and regulatory standards while delivering exceptional customer service. + Drive professional development through ongoing education and knowledge of industry best practices. **Knowledge of:** + Operations and New Accounts systems. + Advanced customer operations and the financial industry. + Accounting concepts and principles. + Investment concepts, practices and procedures used in the securities industry and as required by New Accounts. **Preferred Skills & Qualifications** + Familiarity with AI tools, quality monitoring systems, and customer management platforms to support business processes. + Demonstrated experience in quality assurance, call monitoring, coaching, or dispute resolution within customer service or financial services environments. + Strong analytical and critical thinking abilities to identify trends, interpret data, and recommend process improvements. + Proven ability to manage high-volume inquiries with accuracy, flexibility, and timely analytical responses. + Exceptional written and verbal communication skills for coaching, cross-functional collaboration, and engaging with associates, financial advisors, and branch personnel. + Leadership experience with the ability to guide teams and apply structured approaches to customer interactions that deliver positive experiences and identify sales opportunities. + Skilled in resolving operational issues, analyzing processes, and driving continuous improvement initiatives. + Strong organizational skills with the ability to plan, prioritize, and execute work in a fast-paced environment while ensuring compliance with policies and procedures. + Numerical aptitude and problem-solving skills to address complex issues and interpret data trends effectively.

Step into an instrumental role. Help conduct the smooth operation of a fast-paced-and friendly-financial planning office. Work as an employee of an independent advisor franchisee with a financial advisory practice of Ameriprise Financial. Assist in daily business operations. This position completes tasks previously performed by the advisor, allowing the advisor to focus more time and energy on client acquisition and deepening client relationships. The administrative assistant supports the many different tasks for which the practice is responsible and ties directly to the overall business plan of the practice. The administrative assistant allows the advisor the assurance he/she needs to know that his/her practice is being maintained and supported within Ameriprise Financial guidelines. This role provides administrative support by scheduling meetings, preparing presentations, preparing client communications and tracking new business correspondence. This role is responsible for responding to ad hoc requests, coordinating/tracking projects and/or managing business-as-usual projects such as filing, copying, researching printer problems, and/or organizing the logistics of a client seminar. Responsibilities and Time Allocation - Will change over time to meet the needs of the practice and can include other duties as assigned by the advisor. Position Functions: 90% Administrative assistance • Prepare correspondence for advisor signature • Track all client and practice materials including business correspondence • Follow-up with the corporate office on related issues • Schedule client appointments and prepare agendas/ forms for appointments • Conduct client appointment reminder calls and check-in calls on follow up items • Assist the planning assistant(s), paraplanner(s), associate financial advisor(s) and advisor(s) • Perform other allowable duties as assigned by the financial advisor(s) 10% Client care • Greet clients upon arrival and extend hospitality to clients • Set up and maintain client management system • Write notes or letters to clients on personal letterhead of administrative nature only and administer client appreciation • Document client contacts/calls • Track client special events and make appropriate contact per established client contact model Key Traits of a Successful Administrative Assistant: • Strong organizational and computer skills • Direct attention to detail and organization • Effective communication with clients and other advisors/staff • Effective and efficient time management • Polite and clear phone manner • Ability to multi-task • Ability to adhere to rules and regulations as stated and required by advisor and Ameriprise • Ability to support and provide guidance for compliance within the advisor's practice • Positive attitude and sincere willingness to constantly learn and grow Education and Other Designations: • High school degree or higher At Ameriprise Financial, we're not just in the business of helping clients with their financial goals - we also help our advisors and employees reach their true potential by embracing an inclusive and collaborative culture. We celebrate the unique qualities and reward the contributions of our talented, passionate employees. If you're motivated and want to work for a strong, ethical company that cares about you and your community, take the next step with Ameriprise Financial. This position is with an Ameriprise Financial Franchise owner. Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law. Full-Time/Part-Time Full time

**Key Responsibilities** + Own the end-to-end mutual fund operations function, including governance of securities master and trading restrictions; trade execution and settlement; corporate actions and fund event processing (mergers, liquidations, MF to ETF conversions); share class conversions; networking functions; cash, share, and dividend reconciliation; direct fund account management; vendor oversight; fund relationship management; and leadership of the project/change portfolio. + Product Setup & Platform Readiness: Partner with internal stakeholders on open end mutual fund platform. Oversee onboarding of new mutual funds and share classes, ensuring accurate configuration of eligibility rules, minimums, fees/load structures, and trading restrictions across all systems and channels. Manage fund reference data integrity and enforce prospectus and regulatory compliance through robust operational processes and platform controls. + Fund Relationship & Industry Advocacy: Serve as the executive liaison with fund families, transfer agents, vendors, and market utilities (NSCC/DTCC), ensuring operational readiness for new offerings, corporate actions, and regulatory changes. Advocate for the broker-dealer industry within the mutual fund ecosystem and through active participation in industry committees, influencing standards and regulatory developments to promote operational compatibility, efficiency, and client benefit. + Provide executive oversight and strategic direction for the project and change portfolio, setting priorities, aligning initiatives with business objectives, and ensuring optimal resource allocation for timely, high-quality delivery that drives operational efficiency and scalability. **Other Responsibilities:** + Take overall responsibility for designing, developing, and delivering the organization's operational strategy and outcomes. + Take overall responsibility for setting and approving area budgets that achieve organizational strategy. + Manage and report on business performance; hold direct reports accountable for achievement of business plans, and take corrective action where necessary to ensure the achievement of business objectives, balancing the need to deliver short-term business objectives with the longer-term delivery of stakeholder value. + Lead the development of annual and longer-term business plans for a significant function, ensuring alignment with strategy; quantify business outcomes, i.e., revenues or other key performance indicators (KPIs) and resource budgets (financial and headcount); and ensure integration of key activities or projects across the organization. + Set and communicate the strategy, along with the broad actions needed to implement it, for achieving the organization's mission, vision, and values within a function; inspire a large or diverse workforce to commit to these tenets and do extraordinary things to achieve the organization's business goals. + Identify and manage stakeholders up to and including top management level, finding out their needs, issues, and concerns and reacting to them by leading and coordinating the development of stakeholder engagement plans to support the communication of business information and decisions. + Develop the strategy for a significant area of responsibility, such as a function, anticipating complex issues, challenges, and opportunities. Ensure the strategy is successfully implemented and meets medium-term business needs. + Represent the organization or institution in a variety of industry, institutional, and/or professional forums, boards, and committees, in order to promote the company or institution brand or efforts. Represent the organization in external relations with investors, clients, industry, partners, the public, and others. Focus is on a specific area of the organization, such as a function or department. May involve preparation of presentations and materials for professional partnering meetings, seminars, and conferences. + Identify the capabilities needed to meet the current and emerging business needs of a significant business area. Evaluate current capabilities, identify gaps, and prioritize development activities. Motivate others to develop their capabilities and fulfill their personal potential. Build capabilities elsewhere in the organization through mentoring and other informal methods. + Define the detailed organization structure for a business area to align with corporate principles, define the relationship between elements of the organization, and define the responsibilities of senior managers, to enable the organization to achieve its business objectives. + Participate in the development of corporate strategy, applying functional expertise to test the viability of the strategy and contributing creative ideas and insights to support the strategy formation process. + Collaborates with private client group management to identify and implement solutions. + Monitors regulatory compliance with internal and external groups including auditors, FINRA, IRS, SEC and others. Knowledge Of: + Company's working structure, policies, mission, and strategies. + Project management methodology sufficient to act in a sponsorship role. + Principles of finance and securities industry operations. + Financial markets and products. + Performance management. Skills: + Act as the organizational authority on developing appropriate plans or performing necessary actions based on recommendations and requirements. + Act as organizational authority on planning, organizing, prioritizing and overseeing activities to efficiently meet business objectives. + Operates as a recognized expert to shift into and out of a mental mindsets associated with assessing the facts and circumstances of the current situation and/or environment and making the appropriate/innovative adjustments to thinking and work habits to thrive in any scenario. + Act as organizational authority on strategic planning. + Act as the organizational authority on making sure the organization develops and maintains the culture, values and design it needs to reach its objectives while managing structural change. + Act as the organizational authority on developing, monitoring, interpreting and understanding policies and procedures, while making sure they match organizational strategies and objectives. + Act as organizational authority on developing and implementing policies. + Act as the organizational authority on managing projects and/or programs within desired cost, time and quality parameters. + 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. + Acts as the organization's authority and established expert to develop solutions based on an understanding of the business environment and objectives. + Acts as the organizational authority and established expert on costing, budgeting and finance tasks. + Negotiates as the organizational authority and established expert to help the organization by obtaining consensus between two or more internal or external parties who may have different interests. + Uses expertise to act as the organizational authority on reviewing and creating relevant, lucid and effective reports. + Operates as a recognized expert to orient work in a workflow to plan, organize, and execute the steps it takes to achieve a goal to achieve higher efficiencies. **Licenses/Certifications:** + SIE required or ability to obtain within 120 days (as required by FINRA), provided that an exemption or grandfathering cannot be applied. + Series 99 required, or ability to obtain within 120 days (as required by FINRA). Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination. + Series 7 - _Not required, but highly preferred._

Registered Client Relationship Analysts provide exceptional service to our clients and support Financial Advisor(s) (FAs)/ Private Wealth Advisor(s) (PWAs)/ teams on a daily basis. Through regular interactions with clients, individuals in this role build trusted relationships. Leading with a client first mindset, a successful candidate for this role will have strong interpersonal skills and will be able to assist clients with their everyday needs. DUTIES and RESPONSIBILITIES: CLIENT SUPPORT Provide service coverage for a FA/PWA/team including: Supporting the FA/PWA/team in cultivating and enhancing new and existing client relationships Executing money movement transactions at the request of the client and/or FA/PWA/team Answering general non-investment related questions concerning client accounts, including relaying stock positions and providing account balances (e.g., funds due and margin debit) Enter profile information or pre-fill account documentation on client accounts and/or documents in a clerical capacity at the direction of the client and/or FA/PWA/team Educating or enrolling clients in digital tools (e.g. MSOnline, eSign, eAuthorization) Onboard and maintain client accounts, including collecting client information and required documentation in a clerical capacity at the direction of the client and/or FA/PWA/team Provide existing clients with details around their account information (e.g., investment objectives, risk tolerance) Accept or enter unsolicited orders and/or enter solicited orders in a clerical capacity at the direction of the FA/PWA/team Assists Financial Advisor(s) / team in delivering against their business plan and client service model Supporting the Financial Advisor/ team marketing strategy (e.g, website maintenance) Assist FAs/PWAs/teams in a clerical capacity with research relating to investment portfolio holdings, performance reporting, etc. and preparing materials for client meetings using firm approved systems Assist with data entry for key client needs such as new account opening and financial planning at the direction of the FAs/PWAs/teams Remaining current on all policies, procedures and new platforms Participating in firm initiatives (e.g., training or education programs), special projects and/or other duties directed by local management ADMINISTRATIVE SUPPORT: Answering inbound phone calls or making outbound calls with updates on service requests (e.g., scheduling follow-up calls with Financial Advisor / teams as needed) Managing the calendar including coordinating meetings or events with logistics such as material prep (e.g., maintaining agendas, sending calendar invites with Zoom credentials) Maintaining travel itineraries, preparing expense reports and managing the reimbursement process Assisting with general in-office support functions such as copying, filing and scanning documentation Preparing and submitting expense reports for processing at the direction of the FA/PWA EDUCATION, EXPERIENCE, KNOWLEDGE, and SKILLS: Education and/or Experience High School Diploma/Equivalency College degree preferred Active Series 7 (GS), and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA) Two or more years of industry experience preferred Knowledge/Skills Knowledge of financial services products, including but not limited to equities, bonds, options, mutual funds, annuities, insurance, and managed accounts Detail orientated with superior organizational skills and ability to prioritize Advanced Microsoft Office skills (Word, Excel, Outlook and PowerPoint) Exceptional writing, interpersonal and client service skills Strong time management skills Team player with the ability to collaborate with others Ability to work in a fast-paced, evolving environment Adaptable and ability to multitask Goal oriented, self-motivated and results driven Reports to: Business Service Officer WHAT YOU CAN EXPECT FROM MORGAN STANLEY: We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you'll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work. To learn more about our offices across the globe, please copy and paste ***************************************************** into your browser. Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

Under general supervision, the Policy Care Specialist supports branch operations, advisor transitions, and client service for the One Insurance Solution Team. This role ensures smooth onboarding, accurate processing, and timely resolution of service issues while coordinating with internal departments, advisors, and insurance carriers. Job Description Under general supervision, the Policy Care Specialist supports branch operations, advisor transitions, and client service for the One Insurance Solution Team. This role ensures smooth onboarding, accurate processing, and timely resolution of service issues while coordinating with internal departments, advisors, and insurance carriers. Essential Duties and Responsibilities Support branch operations by managing advisor transitions, account updates, and documentation. Process new business applications and handle money movement requests in accordance with compliance standards. Assist advisors by execute trades and process account activity. Respond to advisor and client inquiries via phone and email, ensuring timely and accurate follow-up. Monitor and manage shared team email inboxes and route tasks appropriately. Sort, scan, and distribute incoming mail and documentation. Collect and organize information from insurance carriers to support case work. Maintain and update internal systems with accurate data and case notes. Assist with weekly reporting and documentation tracking. Perform other administrative and support duties as assigned. Knowledge, Skills, and Abilities Knowledge of Insurance and financial services operations. Branch workflows and advisor transition processes. Internal systems and document handling procedures. Skill in Managing multiple tasks and meeting deadlines. Communicating clearly and professionally with advisors and internal teams. Using Microsoft Office and internal platforms for documentation and reporting. Ability to Deliver high-quality service in a fast-paced environment. Build strong working relationships across departments. Stay organized and follow through on tasks with minimal supervision. Adapt to changing priorities and handle pressure effectively. Educational/Previous Experience Requirements High school diploma or equivalent required. Associate's degree preferred. 2-3 years of experience in financial services or insurance operations. OR: An Equivalent combination of experience, education, and/or training approved by Human Resources Licenses/Certifications Insurance licenses (2-14); must be obtained within 3 months of hire. SIE and Series 6 required within 9 months of hire Education Associate's, High School (HS) Work Experience General Experience - 3 to 6 years Certifications 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-JM1

Under general supervision, the Policy Care Specialist supports branch operations, advisor transitions, and client service for the One Insurance Solution Team. This role ensures smooth onboarding, accurate processing, and timely resolution of service issues while coordinating with internal departments, advisors, and insurance carriers. **Essential Duties and Responsibilities** + Support branch operations by managing advisor transitions, account updates, and documentation. + Process new business applications and handle money movement requests in accordance with compliance standards. + Assist advisors by execute trades and process account activity. + Respond to advisor and client inquiries via phone and email, ensuring timely and accurate follow-up. + Monitor and manage shared team email inboxes and route tasks appropriately. + Sort, scan, and distribute incoming mail and documentation. + Collect and organize information from insurance carriers to support case work. + Maintain and update internal systems with accurate data and case notes. + Assist with weekly reporting and documentation tracking. + Perform other administrative and support duties as assigned. **Knowledge, Skills, and Abilities** **Knowledge of** + Insurance and financial services operations. + Branch workflows and advisor transition processes. + Internal systems and document handling procedures. **Skill in** + Managing multiple tasks and meeting deadlines. + Communicating clearly and professionally with advisors and internal teams. + Using Microsoft Office and internal platforms for documentation and reporting. **Ability to** + Deliver high-quality service in a fast-paced environment. + Build strong working relationships across departments. + Stay organized and follow through on tasks with minimal supervision. + Adapt to changing priorities and handle pressure effectively. **Educational/Previous Experience Requirements** + High school diploma or equivalent required. + Associate's degree preferred. + 2-3 years of experience in financial services or insurance operations. + OR: + An Equivalent combination of experience, education, and/or training approved by Human Resources **Licenses/Certifications** + Insurance licenses (2-14); must be obtained within 3 months of hire. + SIE and Series 6 required within 9 months of hire

**Responsibilities:** + Provide operational support by performing a range of routine activities using existing systems and protocols. + Produce, update, and provide best practice support on a wide range of Microsoft documents, databases, and other departmental systems. + Prepare moderately complex documents using a variety of applications for technology devices, such as standard office software. Also responsible for gathering and summarizing data for reports. + Create a local document management system for an office or department. + Build effective working relationships within the internal client organization and contribute to the management of the partnering relationship, delivering high-quality professional services within established routines or as part of an agreed project. + Find the most effective ways to respond to routine functional inquiries. Involves following procedures and precedents. + Use data management systems to access specific information as and when required. + Develop knowledge and understanding of the organization's policies and procedures and of relevant regulatory codes and codes of conduct to ensure own work adheres to those standards. Obtain authorization from a supervisor or manager for any exceptions from mandatory procedure. + Develop own capabilities by participating in assessment and development planning activities as well as formal and informal training and coaching. Develop and maintain an understanding of relevant technology, external regulation, and industry best practices through ongoing education, attending conferences, and reading specialist media. **Knowledge of:** + Securities industry related to job responsibilities, department and division. + Products and concepts relating to financial services industry, including financial instruments, financial management, and cash and capital principles. + Diverse corporate action events and how they impact clients and the firm + Claims, 180 Liability Notices, and transformations + Foreign currency conversions + Double Taxation Agreements (DTAs) + Corporate actions department procedures, systems (XSP, SIS, DTC, Euroclear), and concepts. **Skills:** + Supports business processes without supervision by understanding and effectively using standard office equipment and standard software packages, while providing technical guidance as needed. + 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. + Works with guidance (but not constant supervision) to plan, organize, prioritize and oversee activities to efficiently meet business objectives. + Works with guidance (but not constant supervision) to develop appropriate plans or perform necessary actions based on recommendations and requirements. + Works under guidance (but not constant supervision) to analyze data trends for use in reports to help guide decision making. + Uses an understanding of numerical concepts to perform mathematical operations such as report analysis with guidance (but not constant supervision). + Works with guidance (but not constant supervision) to select, deploy and get the best results from the most appropriate office system. + Works with guidance (but not constant supervision) to develop, monitor, interpret and understand policies and procedures, while making sure they match organizational strategies and objectives.

The Branch Administrator (BA) is responsible for providing overall administrative support for the Branch, including assisting the Branch Manager in connection with matters affecting the Branch facilities, Financial Advisors, and Support Staff. The BA may be responsible for multiple branch locations at the direction of the Market Management team. As a BA, you must act as a culture carrier as it relates to the core values of the firm. This role enables you to learn about all aspects of the business at a high level, and the wide range of responsibilities presents opportunities to grow skill sets and progress your career within the business. DUTIES and RESPONSIBILITIES: Expense Management Support • Manage Travel & Entertainment (T&E) and Events and Conferences (EnC) expense requests to ensure compliance with Firm policy utilizing online business systems • Coordinate events and meetings for the Branch, including all pre-approvals, event logistics/planning and accounting for meetings including employee, management, Councils, National Sales partners, external wholesalers, and others as directed • Work with Accounts Payable to manage invoices, vendor set up/maintenance, payment reconciliations or issues • Maintain and review Branch finance and expense management information in collaboration with MBSO and/or Business Service Officer (BSO) Management Support • Navigate the firm's resources and act as a liaison with Market Administrator in addition to other various internal and external business partners, including managing requests and escalating as needed • Provide organizational support for Human Resources by leveraging associated HR systems (I-9 processing, New Hire onboarding, internal transfers and employee termination paperwork) • Proactively participate in firm initiatives directed by local management • Communicate and manage firm initiatives for the Branch (e.g., Global Volunteer Month, Annual Appeal) as well as regional and Market initiatives as directed • Actively engage in available training and education programs to maintain current status on policies, procedures and risk awareness (including licensing requirements for Branch personnel) • Facilitate and/or conduct ad hoc projects, training, and events for the Branch as necessary Office Administration Support • Perform administrative functions for Branch Management team, including telephone coverage, business travel arrangements, coordination of internal and external meetings & events, and file & calendar maintenance • Serve as a point of contact for Branch facilities management and maintain up-to-date office utilization information in the internal firm system • Serve as a point of contact for personnel needs (e.g., benefits enrollment, registration/licensing, and communication of policy and updates as it relates to HR and Registration matters), • Serve as a point of contact for local administrative tasks (e.g., Alternative Flexible Grid (AFG) checkpoints, CPR/AED training and certifications, annual certification of registrations and market data expenses) • Lead office management efforts, including maintaining office supplies, ordering business cards and stationery, maintaining business continuity plans and acting as the primary point of contact for the associated Rapid Notification System • Assist with firm remediations as needed • Act as a point of contact for technology projects, migrations, equipment installs/ replacements • Coordinate with Market Administrator as it relates to Market driven projects and initiatives and ensuring back-up Administrator coverage • Administer other duties as delegated by the Market Management Team (Market Manager, Associate Market Manager, Market Business Service Officer, Sr. Risk Officer) EDUCATION, EXPERIENCE, KNOWLEDGE, and SKILLS: Education and/or Experience • High School Diploma/Equivalency • College degree preferred • Two or more years of related experience is a plus Knowledge/Skills • Strong computer skills and knowledge of Microsoft Office • Excellent verbal and written communication skills, including telephone coverage • Strong time management skills • Demonstrates good judgement • Exceptional interpersonal and client service skills • Detail orientated with superior organizational skills • Ability to prioritize work • Team player with the ability to collaborate with others • Ability to work in a fast-paced, evolving environment • Adaptable and ability to multitask • Proactive or self-starter • Ability to be discreet and maintain confidentiality on sensitive matters • Willingness to obtain Series 7 (GS) and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA) Reports to: • Branch Manager WHAT YOU CAN EXPECT FROM MORGAN STANLEY: We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you'll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work. To learn more about our offices across the globe, please copy and paste ***************************************************** into your browser. Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

Our team has key responsibilities to support our advisor service model and growth in a fun and flexible environment. The role of Sales Supervision Manager - Trade and New Accounts conducts risk-based supervision involving a variety of products and investment strategies. New account supervision is also conducted on Brokerage and non-discretionary Managed Accounts. Products include equities, exchange traded products, fixed income, mutual funds, unit investment trusts, 529s, and options at both the trade and account level. Success in this role includes an understanding of these products and how they operate in the financial markets. You will escalate issues requiring further research or action and work with business partners and field leaders to resolve identified issues. You will also provide coaching and training to advisors on trading and investment strategy policies. Key Responsibilities * Review of supervisory alerts for transactions in equities, exchange traded products, fixed income, mutual funds, unit investment trusts, 529s, and options at both the trade and account level. * Supervision of new accounts and strategy changes in Brokerage and non-discretionary Managed Accounts. * Complete supervisory analysis using risk-based judgement, procedures, and job aids. This usually results in approval or rejection of new applications or determination of appropriateness of transactions or other business including communications with the public. * Communicate with advisors, field registered principals and field leaders regarding results of supervisory activity. Involves working closely with advisors to develop an understanding of recommendations made to clients and to reasonably validate fiduciary and best interest standards are met. * Support the team's efforts to innovate and improve the effectiveness and efficiency of processes. Evolve day-to-day processes to streamline work and focus on issues that matter most. * Keep updated on changes in the regulatory environment and competitive landscape including new regulations and product offerings. * Represent the firm and functional processes in response to examinations, investigations, and other regulatory matters, which may include on-the-record engagements with regulators or providing testimony in arbitration matters. * Participate in maintaining the overall health of the team including establishing individual development goals and engagement in team activities. Required Qualifications * A Bachelor's degree (in any field) and 2 years relevant work experience, or no degree with 3 years relevant work experience. Relevant experience includes financial services, customer service, communications, education or other where you have built the skills needed to be successful in this role. * Active SIE (Securities Industry Essentials) and ability to obtain Series 7 within 120 days, Series 24 within 90 additional days, and Series 9/10 or a combination of both Series 4 and 52/53 within 90 additional days, each. Preferred Qualifications * Problem solving and analytical skills; ability to effectively analyze complex issues. * Ability to consistently exercise good judgment when making decisions on complex matters that don't have clear answers. * Strong written and verbal communication skills including ability to deliver unfavorable messages. * Ability to consistently influence positive behavior through coaching and education. * Ability to document activity in a fact-based and comprehensive manner. * Ability to work effectively and efficiently both individually and in a team environment. * Ability to manage workload, across multiple tools and processes, including prioritization and monitoring of pending cases. About Our Company We're a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world. Base Pay Salary The estimated base salary for this role is $88,000- $120,000 / year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurance. Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law. Full-Time/Part-Time Full time Exempt/Non-Exempt Exempt Job Family Group Legal Affairs Line of Business AWMBD Advice and Wealth Mgmt and Business Development

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 Raymond James Insurance Solutions Brand Strategy & Alignment team is focused on providing dynamic digital/creative content in support of connecting advisors to our Product, Sales, and Operations team for the purpose of taking exceptional care of the client and advisor's insurance planning needs. Our division has 200+ associates working together to make life easier for those we serve. Job Summary Utilize creative, technical, and program management skills in order to produce, package, implement and track media content experiences designed to increase relationship connections with Financial Advisors in support of growing their client base and increasing their insurance planning productivity. Methods used to achieve growth results include branding, graphic design, copywriting, video production (Pre and Post), social media and web support, digital and direct-mail content production, event/seminar media support and digital content distribution. The summer associate position is a temporary role. Start Date: Monday, June 1, 2026 End Date: Friday, August 7, 2026 Work Schedule: Monday through Friday, up to 40 hours per week. Duties and Responsibilities Work alongside a dynamic team of sales, marketing and creative professionals to help produce and implement branded digital relationships by building media content experiences in support of business growth. Plan, create and deploy digital media content experiences for the purpose of increasing brand awareness and user engagement. Enhance marketing processes and systems resulting in new turnkey value services. Pre and post video/audio production management. Develop content in support of website enhancements. Support social media content production. Maintain a prioritized schedule of deliverables while adjusting to reevaluated priorities. Performs other duties and responsibilities as assigned. Knowledge, Skills, and Abilities Knowledge of Technical knowledge expected of a creative content marketing developer and production specialist. Exceptional technical knowledge expected of digital media producer (video preferred). Process development and overall business knowledge to implement content strategies from corporate, B2B/B2C levels. Social media content development support. Digital content reporting metrics (email, web and social). Final Cut Pro and Adobe Creative Suite. Skill in Organizational, planning and time management skills with a “we can do it together” attitude. Independent creative thinking and problem solving. Sufficient skill to manage and track multiple projects from start to completion. Excellent written and oral communication skills, as well as solid interpersonal skills. Managing content production activity. Ability to Represent company standards through all forms of communication and content delivery. Exceptional ability to interpret and implement campaign strategies. Deliver inspired copy and enhance messaging through understanding project goals and objectives. Work with clear precision in the midst of a fast-paced work environment. Work in a unified team-based environment and execute at a professional level. Educational/Previous Experience Requirements Freshman or Sophomore standing (December 2027-May 2029 graduates) pursuing a bachelor's degree in digital media, marketing, or related field. 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 None required. Location Hybrid position - Troy, MI No travel required. Education High School (HS) (Required) Work Experience General Experience - 4 to 6 months 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.

**Key Responsibilities and Skills:** + Actively participate in department and cross‑functional projects, contributing subject‑matter expertise on customer processes, regulatory requirements, operational workflows, and IRS‑related rules or documentation standards. + Identify and report instances of noncompliance with organizational policies, regulatory guidelines, and/or IRS‑related rules, escalating issues appropriately to ensure corrective actions and audit readiness. + Provide advanced product and service information, incorporating regulatory or IRS‑specific detail when relevant, and respond to complex customer questions with accuracy and clarity. + Manage and resolve escalated customer issues with a high degree of independence and judgment; provide managerial approvals and regulatory compliance checks as required. + Deliver a consistently high‑quality service experience while identifying opportunities to support business retention, improve operational processes, or enhance compliance. Responsibilities may include case processing, handling complex or sensitive inquiries, and performing detailed research to resolve client problems. + Operates with full competence and independence in delivering high‑quality services that meet operational, regulatory, and IRS‑related requirements; may provide technical guidance or training to others. + Fully proficient in aligning organizational processes with customer needs while ensuring adherence to regulatory expectations and project deliverables. + Demonstrates strong ability to translate customer requirements into business language and processes, incorporating compliance, documentation, and IRS‑appropriate considerations. + Builds and strengthens customer relationships by delivering positive, compliant, and accurate service experiences; may mentor or guide peers on best practices, regulatory awareness, or workflow improvements. **Other Responsibilities** - Identify, within the team, instances of noncompliance with the organization's policies and procedures and/or relevant regulatory codes and codes of conduct, reporting these instances and escalating issues as appropriate. - Provide advanced product/service information and respond to complex customer questions about the product/service. - Respond to more advanced issue escalations promptly and appropriately; provide managerial approvals as required. - Provide a quality service to clients while identifying opportunities to secure new business or support retention. Responsibilities may include processing cases, dealing with complex queries, and investigating and resolving client problems. **Knowledge of:** + Rules and regulations of the IRS and DOL pertaining to IRAs and qualified plans + Fundamental financial planning and investment concepts, practices and procedures used in the securities industry + Principles of securities industry operations and financial services and products **Other Skills:** - Works to deliver required services to clients to the required standards. Typically works without supervision and may provide technical guidance. - Works to orient the organization around delivering to the key needs of clients. Typically works without supervision and may provide technical guidance. - Works to articulate client needs in the client's business language and business context. Typically works without supervision and may provide technical guidance. - Works to connect with clients to strengthen the relationship, meeting personal needs through positive client experiences. Typically works without supervision and may provide technical guidance. While the following certifications are not required for this role, they are highly beneficial and strongly encouraged: + Securities Industry Essentials (SIE) Exam + Financial Industry Regulatory Authority (FINRA) Series 99 - Operations Professional + FINRA Series 7 - General Securities Representative + Certified Investment Services Professional (CISP)

Under general direction with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience, to create new and manage existing relationships with financial advisors/brokers and agents to generate required production/sales revenue from financial products throughout a given territory. Leads projects, programs or processes with significant business impact involving cross-functional teams. Develops tactical plans and completes complex assignments with substantial latitude for unreviewed actions or decisions. Provides comprehensive solutions to complex problems or needs. End results are evaluated for achieving goals and objectives. **Essential Duties and Responsibilities:** - Responsible for recruiting, building, and maintaining relationships with financial professionals. - Assists with educating financial professionals on the benefits of offered products and services for their clients through individual or group meetings, presentations, including in person visits, seminars, and conferences/trade shows. - Assists with developing and implementing wholesaling business plans for the territory to deliver on sales goals. - Presents sales activities at weekly wholesaling meetings. - Maintains wholesaling activity logs and or databases to create and maintain broker profile levels and data on current and proposed sales activity. - Works closely with assigned internal wholesaler to deliver sales goals by identifying and fostering leads generated from referrals, ad campaigns, and territory canvassing. - Manages expense account within allotted budget. - Performs other duties and responsibilities as assigned. **Knowledge, Skills, and Abilities:** **Knowledge of:** - Fundamental concepts, principles, and practices of the insurance and securities industry. - Broker/dealer, RIA, and Insurance Agency operations. **Skill in:** - Identifying the needs of customers through effective questioning and listening techniques. - Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment. - Preparing and delivering clear, convincing, and professional sales presentations to small and large audiences. - Problem-solving sufficient to effectively analyze, research, and resolve inquiries and issues in a timely manner. - Analyzing business processes and identifying process improvement opportunities. - Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, and spreadsheets. **Ability to:** - Represent the company in a highly professional manner. - Organize, prioritize, and manage tasks and projects to complete work efficiently. - Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives and convince others to accept ideas or goals. - Develop and maintain effective working relationships with team members, internal partners, and external parties. - Assimilate and prioritize strategies into operational guidelines. - Work independently as well as collaboratively within a team environment. - Establish clear directions and priorities. **Educational/Previous Experience Requirements:** - Bachelor's Degree (B.A.) in Finance or related field or 3-6 years of experience in the financial services industry. Great position for an internal wholesaler to advance their career. ~or~ - Any equivalent combination of experience, education, and/or training approved by Human Resources. **Licenses/Certifications:** - Life & Health License is required. - SIE is required, provided that no exemption or grandfathering applies. - FINRA Series 7 preferred, or the ability to obtain necessary licenses within six months of hire

Client Service Associates provide exceptional service to our clients and support Financial Advisor(s) (FAs)/ Private Wealth Advisor(s) (PWAs)/ teams on a daily basis. Through regular interactions with clients, individuals in this role build trusted relationships. Leading with a client first mindset, a successful candidate for this role will have strong interpersonal skills and will be able to assist clients with their everyday needs. DUTIES and RESPONSIBILITIES: CLIENT SUPPORT Provide service coverage for a FA/PWA/team including: Supporting the FA/PWA/team in cultivating and enhancing new and existing client relationships Executing money movement transactions at the request of the client and/or FA/PWA Answering general non-investment related questions concerning client accounts, including relaying stock positions and providing account balances (e.g., funds due and margin debit) Enter profile information or pre-fill account documentation on client accounts and/or documents in a clerical capacity at the direction of the client and/or FA/PWA Educating or enrolling clients in digital tools (e.g. MSOnline, eSign, eAuthorization) Supporting the FAs/PWAs/teams' marketing strategy (e.g., website maintenance) Assist FAs/PWAs/teams in delivering against their business plan and client service model Remaining current on all policies, procedures and new platforms Participating in firm initiatives (e.g., training or education programs), special projects and/or other duties directed by local management ADMINISTRATIVE SUPPORT: Answering inbound phone calls or making outbound calls (e.g., scheduling follow-up calls with FAs/PWAs/teams as needed) Managing the calendar including coordinating meetings or events with logistics such as material prep (e.g., maintaining agendas, sending calendar invites with Zoom credentials) Maintaining travel itineraries, preparing expense reports and managing the reimbursement process Assisting with general in-office support functions such as copying, filing and scanning documentation Preparing and submitting expense reports for processing at the direction of the FA/PWA EDUCATION, EXPERIENCE, KNOWLEDGE, and SKILLS: Education and/or Experience High School Diploma/Equivalency College degree preferred Industry experience is a plus Willingness to obtain Series 7 (GS), and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA) Knowledge/Skills Detail orientated with superior organizational skills and ability to prioritize Advanced Microsoft Office skills (Word, Excel, Outlook and PowerPoint) Exceptional writing, interpersonal and client service skills Strong time management skills Team player with the ability to collaborate with others Ability to work in a fast-paced, evolving environment Adaptable and ability to multi-task Goal oriented, self-motivated and results driven Reports to: Business Service Officer WHAT YOU CAN EXPECT FROM MORGAN STANLEY: We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you'll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work. To learn more about our offices across the globe, please copy and paste ***************************************************** into your browser. Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

Under general supervision, uses general knowledge and skills obtained through training and experience to process money movement of client funds. General instructions and procedures are provided to perform routine standardized tasks. Resolves routine questions and problems and refers more complex issues to a higher level. Essential Duties and Responsibilities: • Receives and directs visitors and telephone calls; maintains record of inquiries, as required. • Sorts, screens and distributes incoming and outgoing mail. • Processes money movement of funds, disbursements and check delivery. • Transmits and receives messages with home office. • Processes securities transactions, including transmitting orders, cancellation and correction of orders and, ensuring delivery to home office according to proper mailing procedures with confirmation of receipt. • Maintains documentation to cashiering according to compliance requirements. • Assists branch managements with audit preparation. • Assists with opening client accounts by properly completing and submitting required forms. • Supports client onboarding. • Monitors document status through importing, scanning and submission of documents. • Provides general administrative support to branch management. • Maintains, processes and updates files, records and other documents. • Maintains inventory, stocks and distributes office supplies. • Cross-trains and assists with other operational functions as required. • Performs other duties and responsibilities as assigned. Qualifications - External Qualifications: • Company's working structure, policies, mission, and strategies. • General office practices, procedures, and methods. • Financial services industry investment concepts, practices and procedures. • Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases. • 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. • Use mathematics sufficient to complete money movement and reporting tasks. Educational/Previous Experience Requirements: • High School Diploma or equivalent and prefer a minimum of one (1) years' experience in industry or related field preferred. ~or~ • An equivalent combination of experience, education, and/or training as approved by Human Resources. Licenses/Certifications: • None required. Education Bachelor's: Accounting, Bachelor's: Business Administration, Bachelor's: Finance Work Experience General Experience - 7 to 12 months Certifications Travel Less than 25% Workstyle Resident At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. We expect our associates at all levels to: • Grow professionally and inspire others to do the same • Work with and through others to achieve desired outcomes • Make prompt, pragmatic choices and act with the client in mind • Take ownership and hold themselves and others accountable for delivering results that matter • Contribute to the continuous evolution of the firm At Raymond James - as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. #LI-AC1

**Essential Duties and** **Responsibilities:** - Responsible for building and maintaining relationships with financial advisors to generate assets within a specific territory. - Assists with educating financial advisors on the benefits of offered products and services for their clients through individual or group meetings presentations, including branch visits, seminars and conferences/trade shows. - Assists with developing and implementing wholesaling business plans for the territory to deliver on sales goals. - Presents sales activities at weekly wholesaling meetings. - Maintains wholesaling activity logs and or databases to create and maintain broker profile levels and data on current and proposed sales activity. - Works closely with assigned internal wholesaler to deliver sales goals by identifying and fostering leads generated from referrals, ad campaigns and territory canvassing. - Manages expense account within allotted budget. - Performs other duties and responsibilities as assigned. **Knowledge, Skills, and Abilities:** **Knowledge of:** - Fundamental concepts, principles and practices of the securities industry and asset management products. - Broker/dealer operations. **Skill in:** - Identifying the needs of customers through effective questioning and listening techniques. - Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment. - Preparing and delivering clear, convincing and professional sales presentations to small and large audiences. - Problem solving sufficient to effectively analyze, research and resolve inquiries and issues in a timely manner. - Analyzing business processes and identifying process improvement opportunities. - Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, and spreadsheets. **Ability to:** - Represent the company in a highly professional manner. - Organize, prioritize, and manage tasks and projects to complete work efficiently. - Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives and convince others to accept ideas or goals. - Develop and maintain effective working relationships with team members, internal partners, and external parties. - Assimilate and prioritize strategies into operational guidelines. - Work independently as well as collaboratively within a team environment. - Establish clear directions and priorities. **Educational/Previous Experience Requirements:** - Bachelor's Degree (B.A.) in Finance or related field and a minimum two (2) years of experience in the financial services industry. ~or~ - Any equivalent combination of experience, education, and/or training approved by Human Resources. **Licenses/Certifications:** - SIE required provided that an exemption or grandfathering cannot be applied. - FINRA Series 7 and the ability to obtain other necessary license within sixty (60) days of hire.

**Essential Duties and Responsibilities** + Responsible for supervision oversight and ensuring adherence to firm and regulatory policies and procedures. + Perform reviews of client accounts and documents submitted by the branch. + Educates branch staff associates. + Escalates concerns to senior management and may propose new policies or procedures regarding risk, adhering to compliance and operational risk controls in accordance with company and regulatory standards. + Review and analyze monitoring reports and systems for suspicious/unusual patterns and follow-up with appropriate individual(s) for explanations and actions. + Coordinates registrations, continuing education, licensing, etc. of branch personnel. + Oversees branch activities. + Interfaces with specific business platform sales management associates to inform them of any supervisory concerns that may arise with branch offices and work together with them to address and resolve these concerns. + Implements and enforces policies and procedures for all business platform branch office locations not currently staffed with a licensed and qualified branch manager by serving as the designated manager or branch manager delegate of these OSJ locations. + Monitors and keeps up to date with securities/advisory regulations and applies them accordingly. + Interprets, applies and recommends changes to organizational policies and procedures while adhering to compliance and operational risk controls in accordance with company and regulatory standards. + Handles all administrative matters in the hiring/termination of FA and their transition in and out of the branches. + Monitors Supervisory Center alerts and handles any necessary follow-up. + Researches and resolves complex problems relating to clients' accounts and inquiries. + Identify needs of the team and find solutions to complex issues + Communicates with the field regarding regulatory rules and firm policy changes. + Serve as the face of the organization and advocate for the branches we oversee. + Ensure any identified policy violations or branch deficiencies are addressed with the branch and fully remediated. + Travel to branch locations to perform required annual Branch Manager Supervisory Visits. + Performs other duties and responsibilities as assigned. **Knowledge, Skills, and Abilities** **Knowledge of** + Company policies and procedures and industry rules and regulations. + Investment concepts, practices and procedures used in the securities industry, financial markets and financial products. **Skill in** + Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases. + Preparing and delivering clear, effective, and professional presentations. + Identifying the needs of customers through effective questioning and listening techniques. + Handling stressful situations and leading others in providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude. + Projecting a professional and pleasant appearance and demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment. + Employing good analytical skills to be able to research and resolve problems. + Establishing and communicating clear directions and priorities. + Utilizing good interpersonal and verbal and written communication skills to deal with clients, financial advisors, support staff and home office personnel. + Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes. + Effectively organizing, managing, tracking and completing multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment. + Working independently, under minimal supervision. **Ability to** + Handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude. + Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes. + Project a professional and pleasant appearance and demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment. + Travel extensively to perform required branch visits. **Educational/Previous Experience Requirements** **Education/Previous Experience** + Bachelor's degree (B.A.) from four-year college or university, and a minimum of six (6) years' experience in a financial services firm / supervision + ~OR~ + An equivalent combination of experience, education, and/or training as approved by Human Resources. **Licenses/Certifications** + SIE required provided that an exemption or grandfathering cannot be applied + Series 7, 9/10 or 24, 66 or 63/65 required + Series 53, Life, Health and Variable Annuity Licenses preferred

Essential Duties and Responsibilities + Ensure Keep-The-Lights-On tasks are handled with priority and efficiency. + Provide Tier-2 support for incidents and problem tickets. + Collaborate and provide network security guidance to other teams as needed. + Responsible for up-time, monitoring, reliability, stability and policy maintenance of supported systems. + Participate in high priority calls and own problem management tasks. + Produce and maintain current description and documentation of knowledge management, policy configuration, including tracking and documenting any changes to policies, procedures, and operational tasks. + Ability to install new networking equipment and cabling within data centers. + Provide suggestions to Engineering and Architecture teams on current and emerging technologies. + Bring technical knowledge from external sources and incorporate ideas for creating efficiencies / continuous improvement. + Provide recommendations for Business Continuity Planning and Disaster Recovery, participate in these activities, and update and maintain network plans. + Contribute into and own ITIL processes involving change management, audit tracking, etc. + Promote service offerings to grow global infrastructure to meet business and technology needs. + Be available for rotational on-call support, as required, on a 24 hour x 7 days / week basis. + Performs other duties and responsibilities as assigned. Required Knowledge: + F5 Load Balancing (LTM, GTM) + LAN/WAN network technologies and related protocols. + Firewall Technologies (NGFW, SASE) + Knowledge of configuring and managing firewall policies, detecting threats, and troubleshooting issues. + Understanding of security protocols (IPsec, SSL, TLS, etc) + Experience establishing and troubleshooting IPSec Tunnels. + SSL VPN (Global Protect, F5 BigIP Edge Client) + SDWAN and SASE technologies (preferably Cisco Viptela and Prisma SDWAN/Access). + Wireless networking technologies (802.11x). + Familiar with automation, monitoring and reporting tools (Solarwinds, SevOne etc) + Understanding of Cloud technologies (AWS, Azure, SASE, etc). + Converged voice and data infrastructures. + Quality of Service (QOS) design and configuration. + TDM / IP PBX configuration (Avaya, Zoom Phone, etc) + Common network monitoring, access control (NAC) and troubleshooting tools. + Knowledge of service management frameworks (ITIL) desirable. + Fundamentals of network protocols such as TCP/IP, DNS, DHCP, SNMP, BGP, OSPF, EIGRP, MPLS, SD-WAN and VLANs, along with their implementation and troubleshooting. Ability to: + Demonstrate a satisfactory level of technical and professional skills or knowledge in position-related areas; remains current with developments and trends in areas of expertise. + Identify and understand issues, problems, and opportunities; compare data from different sources to draw conclusions. + Clearly convey information and ideas through a variety of media to individuals or groups in a manner that engages the audience and helps them understand and retain the message. + Use effective approaches for choosing a course of action or developing appropriate solutions; recommend or take action that is consistent with available facts, constraints, and probable consequences. + Develop and use collaborative relationships to facilitate the accomplishment of work goals. + Make internal and external clients and their needs a primary focus of actions; develop and sustain productive client relationships. + Work a non-standard schedule including nights and/or weekends and/or have on-call responsibilities. Preferred Licenses/Certifications: + F5 (Certified Administrator | Certified Technical Specialist) + Cisco (CCNA, CCNP: Routing & Switching | Security | Voice | Data Center) + Palo Alto Certified Network Administrator (PCNSA) + Arista Network Administrator + ForeScout Administration + AWS Cloud / Azure Administrator certification desired

Meaningful work. Rewarding career. Make an impact providing expert financial advice with heart. Thrivent is a different kind of financial services firm, one that puts generosity at the center of saving and investing. Here, you'll make an impact in the lives of the people you serve, helping them build, grow and protect financial well-being through purpose-based advice, investments, insurance, banking and generosity. At Thrivent, you'll receive the support, stability and opportunity of a Fortune 500 leader. We offer up to 14 weeks of paid training and coaching as you obtain your state insurance licenses (life, health & variable contracts), Series 7 and 66 registrations, and complete Thrivent's comprehensive advisor onboarding program. After onboarding, you'll have control over the income you earn, as you'll be paid through commissions and incentives based on your success. As a Thrivent Financial advisor, you will: Build a financial practice guiding Christians on their journeys to financial clarity, empowering lives of service and faith. Provide personal, actionable and achievable advice and connect clients to Thrivent products and programs. Develop and maintain genuine, long-term relationships throughout generations based on trust and understanding, with the ability to serve clients in your chosen community. Make client appointments by leveraging your network and Thrivent's reputation, delivering award-winning financial workshops and marketing your practice. Have the flexibility to control your schedule, allowing for work-life balance. Find a collaborative culture with colleagues who want you to be successful and are willing to help you do so. Get the support of specialists from every facet of the organization-such as business development, marketing, technology, engagement, and experienced advisors-as you build your business. Desired Characteristics Our culture and our people are special. We're looking for people who are - or want to become - part of the communities where clients live, work and worship. Whether you're a seasoned financial professional or looking for a career change, you could be a successful Thrivent Financial advisor if you're: Self-disciplined, independent and driven to succeed. Motivated by helping others and seeing them achieve their goals. A natural coach or guide with strong interpersonal skills. Passionate about living a life of generosity by serving others, not just selling products. Successful Thrivent financial advisors have come from a variety of career backgrounds, including outside sales, business management, education, ministry, hospitality, military and more. Skills acquired in these fields transition well into the financial advisor role. Requirements Bachelor's degree or equivalent experience. Military veterans are encouraged to apply. Attainment of FINRA SIE, life and health licenses (licensed role only) before contracting. Satisfactory background check, fingerprinting and securities registration and/or insurance licensing verification, if applicable. Compensation and Benefits You'll get all the benefits of a Fortune 500 organization and more. Here, you'll enjoy: Unlimited earning potential through biweekly base commissions, bonus opportunities and incentive pay structures, recurring revenue streams, and dedicated planning fees for those who qualify. Medical, dental, vision, disability and accidental death and dismemberment insurance. Pension, 401(k) and retiree medical plans. Ongoing support, training and opportunity for professional growth as you build your business. Well-being programs to help you manage your physical, emotional and financial health. Gift matching program to double your contributions to eligible nonprofit organizations and volunteer programs that support your efforts to make a difference. Membership programs that help you connect with your clients and engage Christians to make a real impact in your community. About Thrivent Thrivent is a diversified financial services organization that, with its subsidiary and affiliate companies, serves more than 2.4 million clients, offering advice, insurance, investments, banking and generosity products and programs. For more than 100 years, Thrivent has been helping Christians build their financial futures and live more generous lives. Today, Thrivent is a not-for-profit, membership-owned Fortune 500 company with $179 billion in assets under management/advisement (as of 12/31/23). Thrivent carries ratings from independent rating agencies which demonstrate the strength and stability of the organization, including an A++ rating from AM Best; an Aa2 rating from Moody's Investors Service; and an AA+ rating from S&P Global Ratings. Ratings are based on Thrivent's financial strength and claims-paying ability, but do not apply to investment product performance. Thrivent values diversity and inclusion, and we're committed to providing an Equal Employment Opportunity (EEO) without regard to race, religion, color, gender, gender identity, national origin, age, disability, marital status, citizenship status, military or veteran status, sexual orientation, sex, genetic information, or any other status or condition protected by applicable state or federal laws. This policy applies to all employees and job applicants. To learn more about the privacy of your information, visit our workforce privacy policy at thrivent.com/privacy. Thrivent is the marketing name for Thrivent Financial for Lutherans. Insurance products, securities and investment advisory services are provided by appropriately appointed and licensed financial advisors and professionals. Only individuals who are financial advisors are credentialed to provide investment advisory services. Visit Thrivent.com or FINRA's Broker Check for more information about our financial advisors. Thrivent provides Equal Employment Opportunity (EEO) without regard to race, religion, color, sex, gender identity, sexual orientation, pregnancy, national origin, age, disability, marital status, citizenship status, military or veteran status, genetic information, or any other status protected by applicable local, state, or federal law. This policy applies to all employees and job applicants. Thrivent is committed to providing reasonable accommodation to individuals with disabilities. If you need a reasonable accommodation, please let us know by sending an email to **************************** or call ************ and request Human Resources.

Raymond James is seeking an experienced Business Analyst to join our Information Technology Regulatory Reporting team. In this role, you will collaborate with Finance, Risk, and cross functional Technology teams to design, implement, and support Axiom based regulatory reporting solutions across multiple regulatory domains, including Broker Dealer, Bank Holding Company (BHC), and Non-Financial Regulatory Reporting. **Key Responsibilities:** + Partner with business and IT stakeholders to gather, interpret, and translate reporting requirements for Axiom based solutions. + Lead and support reporting initiatives for CCAR, Liquidity Risk (e.g., FR 2052a), and other Federal Reserve reporting. + Produce clear and comprehensive BRDs and FRDs. + Perform data analysis and mapping between upstream systems and downstream data models. + Support SIT and UAT testing, including test case development, execution, and defect management. + Develop business process documentation, data lineage mapping, and reporting logic. + Collaborate with data owners and technology partners to validate and source required data. + Support audit and regulatory reviews, including evidence preparation and walkthroughs. + Participate in project planning, estimation, and delivery of initiatives. **Skills/Previous Experience:** + More than five (5) years of experience as a Business Analyst would be preferred or a combination of education, training and experience. + Hands on financial experience, strong knowledge of U.S. regulatory reporting requirements (e.g., CCAR, FR Y 14, FR Y 9C, FR 2052a), and the ability to translate business needs into scalable technology solutions. **Knowledge, Skills, and Abilities:** Knowledge of: + Data models, templates, and integration patterns. + U.S. regulatory reporting frameworks, including CCAR, FR Y 14, FR Y 9C, FR 2052a, and Basel III. + Product knowledge e.g. Loans & Leases, Securities, Deposits, Derivatives, SFT, etc. + SDLC methodologies (Agile, Waterfall, Hybrid). + Basic accounting principles and financial instruments. + Risk management, issue tracking, and change management processes. Skills in: + Requirements gathering, analysis, and documentation for regulatory reporting. + Experience with OFSAA is a plus or similar finance data warehouse platforms. + Data analysis, reconciliation, and source to target mapping. + Intermediate SQL for data validation and investigation. + Working with big data warehouse platforms. + Data governance and metadata management concepts. + Communicating complex concepts to both technical and non technical stakeholders. + Using Jira, TFS, Confluence, and advanced Excel tools. Ability to: + Translate regulatory and financial reporting needs into functional and non-functional specifications tailored for Axiom. + Influence and collaboration with senior stakeholders and regulators. + Lead initiatives from requirements through deployment. + Identify gaps, propose solutions, and drive continuous improvement. + Deliver high quality work under tight regulatory deadlines. + Occasionally work non standard hours to support regulatory cycles. **Preferred Regulatory Reporting Experience (Preferred Skills):** + Axiom ControllerView(V10) architecture + SEC Filings: 10 K, 10 Q, 8 K + Federal Reserve Reports + Federal Financial Institutions Examination Council Reports + Treasury International Capital Reports + FINRA Reports: FOCUS (X 17A 5), SIS, SSOI, 15c3-1, 15c3-3 + FDIC Reports: Call Reports, UBPR + Basel III: LCR, NSFR + Stress Testing: DFAST, CCAR (FR Y 14A/Q/M), RWA + Regulation Y Reports **Licenses/Certifications:** + None required.