Investment Portfolio Associate (Carlsbad, CA)

Job Description Summary

Under direct supervision, uses specialized knowledge and skills obtained through education and experience, to assist in analyzing portfolio analytics, asset allocation and investment holdings with client portfolios and make appropriate recommendations when warranted. Provides professional support to Financial Advisors by preparing industry and company research by collecting, organizing data, writing investment-related research reports, and creating/ maintaining financial models. Regular contact with internal and external customers is required to obtain, clarify, or provide facts or information.

Job Description

Responsibilities

• Collects fundamental research on related companies as requested by Financial Advisors.
• Uses analytical tools, software and methodologies to research investment products, asset allocation and comparative analysis on portfolios.
• Assists in preparation of written industry and company specific reports
• Assists in development of financial models for revenue and income forecasts.
• Assists with research and analytics used in Investment Strategy white papers for Financial Advisors.
• Assists with preparation of presentations, portfolio/equity analyses, and proposals for High Net Worth and institutional clients and prospects.
• May participate in client meetings to identify client goals and tolerances.
• Assists with developing individualized client investment strategy for Financial Advisor.
• Responds to inquiries from Financial Advisors to research and resolve issues.
• Prepares customized written industry and company specific reports upon request to Financial Advisor.
• Assists in development of financial models to forecast team revenue and income.
• Assists with preparation of scheduled and ad hoc performance reports.
• Maintains checklists for tracking periodic investment managers’ reviews by third party and independent investment manager searches.
• Generates periodic reports on investment analyses and peer group comparisons with relevant investment benchmarks for clients.
• Interfaces effectively with all levels of staff in managing portfolios.
• Completes ad hoc projects and reports as assigned.
• Performs other duties and responsibilities as assigned.

Education/Experience Requirements

• Bachelor’s degree in a related field and three years’ experience in the financial services industry with an emphasis on conducting market research and analysis

~or~

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

Licenses

• SIE required provided that an exemption or grandfathering cannot be applied
• Series 7
• Series 63, 65 and/or 66 as required by state
• Additional licenses or designations may be required as needed.

Education

Bachelor’s: Business Administration, Bachelor’s: Finance, Bachelor’s (Required)

Work Experience

General Experience - 13 months to 3 years

Certifications

s66 - Uniform Combined State Law Examination - Financial Industry Regulatory Authority (FINRA), s7 - General Securities Representative Examination - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Salary Range

$70,304.00-$90,000.00

Travel

Less than 25%

Workstyle

Resident

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave.  Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. 
We expect our associates at all levels to:
•  Grow professionally and inspire others to do the same
•  Work with and through others to achieve desired outcomes
•  Make prompt, pragmatic choices and act with the client in mind
•  Take ownership and hold themselves and others accountable for delivering results that matter
•  Contribute to the continuous evolution of the firm

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

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