Job Description Summary

This role will materially support the firm’s goal of delivering a menu of high-quality private markets investment opportunities to private wealth clients, with a particular focus on operationalizing co-invest and direct offerings. Collaborates with PCG and Capital Markets origination, investments research, operational due diligence, sales, and operations teams to accomplish objectives. Under general direction from platform leadership and with a high level of autonomy, uses extensive knowledge and skills to drive referral agreement negotiations and operationalizing of private market investment opportunities. Supports the broader private markets platform by reviewing and coordinating service and distribution agreements for funds offerings made available through the alternative investment platform. Leads and contributes to major projects, programs or processes involving cross-functional teams that will have significant business impact. Contact with both internal clients and functional area representatives including legal, compliance, supervision, operations, and AML.

Job Description

Job Summary:

This role will materially support the firm’s goal of delivering a menu of high-quality private markets investment opportunities to private wealth clients, with a particular focus on operationalizing co-invest and direct offerings. Collaborates with PCG and Capital Markets origination, investments research, operational due diligence, sales, and operations teams to accomplish objectives. Under general direction from platform leadership and with a high level of autonomy, uses extensive knowledge and skills to drive referral agreement negotiations and operationalizing of private market investment opportunities. Supports the broader private markets platform by reviewing and coordinating service and distribution agreements for funds offerings made available through the alternative investment platform. Leads and contributes to major projects, programs or processes involving cross-functional teams that will have significant business impact. Contact with both internal clients and functional area representatives including legal, compliance, supervision, operations, and AML.

Essential Duties and Responsibilities:

• Working with RJ Legal, origination, investment research, and operational due diligence teams to negotiate distribution and referral agreements.
• Builds collaborative partnerships with other teams involved in sourcing and offering non-traditional investment offerings
• Supports a structured approach to launches of new offerings with other areas that source and underwrite opportunities
• Manages and coordinates operationalizing and launch of co-invest and direct offerings. Works in a compliant manner, ensuring expectations are set appropriately with sponsors/issuers regarding set-up, nature and frequency of ongoing live deal interactions, and post-deal requirements.
• Communicates regularly in a clear, concise, and relevant manner to escalate issues and provide feedback to senior managers and other interested parties.
• Reviews progress of assignments with platform leadership.
• Coordinate and work closely with RJ legal and external attorneys preparing comments, providing guidance to resolve issues on distribution, service, and referral agreements.
• Partner with other functional areas to accomplish objectives.
• Research, compile information, and assist with preparation of responses to regulatory authorities.
• Research and coordinate Anti-Money Laundering issues and projects as needed.
• Assist with FINRA regulatory filing 5130 and documenting exemptions as applicable.
• Work with firm associates to ensure maintenance of a library of documents, contracts, contract clauses, templates, and historical documents, and revise as necessary.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

Knowledge of:

• Financial markets and products, including private markets products.
• Legal agreement drafting and negotiation.
• Relevant FINRA/SEC rules and regulations.
• Principles of banking and finance and securities industry operations

Skill in:

• Conducting negotiations with third parties, with strong problem-solving skills to achieve desired outcomes.
• Strong oral and written communication capability.
• Ability to think independently and quickly and convey a positive impression of Raymond James to third parties.
• Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, and spreadsheets.

Ability to:

• Communicate effectively, both orally and in writing, externally and with all internal organizational levels.
• Work independently, make non-routine decisions and resolve issues.
• Balance conflicting resource and priority demands.
• Write in a well-organized, concise yet complete format and use verbal and written communication skills to effectively and professionally communicate with all levels of the organization.
• Read and interpret complex legal documents such as private placement memorandums, limited partnership agreements, and selling agreements.
• Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment with frequent interruptions.
• Partner with other functional areas to accomplish objectives.
• Plan, assign, monitor, review, evaluate and lead the work of others.
• Attend to detail while maintaining a big picture orientation.
• Interpret and apply policies and identify and recommend changes as appropriate.
• Work independently as well as collaboratively within a team environment.
• Convey information clearly and effectively through both formal and informal documents.
• Facilitate meetings ensuring that all viewpoints, ideas, and problems are addressed.

Educational/Previous Experience Requirements:

• Ideally an M.B.A. or Master’s Degree in a related field with a minimum of seven (7) years of experience in the financial services, legal, or consulting industry.
• A legal background is not required though a plus, but familiarity with legal documents and experience in document review and negotiation is important.

~or~

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Education

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

Work Experience

Manager Experience - 6 to 10 years

Certifications

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

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. 

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