Registered Client Service Associate

Overview

Celebrating more than 60 years of rich history and recognition for service and excellence in the Financial Services industry, Raymond James is seeking a dynamic Registered Client Service Associate who is a motivated, detail oriented and creative problem solver to join our growing team. This essential role provides high quality, high-touch administrative support to Financial Advisors, their prospective and existing clients, and other branch staff.

The ideal candidate will have effective communication skills across multiple platforms (phone, email, in-person, virtual) and the ability to organize, manage, and track multiple, detailed tasks with frequently changing priorities and deadlines in a fast-paced environment. Come grow with us and see where a career at Raymond James could take you!

Job Description Summary

Job Summary and responsibilities are described below.

• Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes and scheduling meetings with prospective and existing clients on the phone, in-person, virtually and through mailings.
• Works independently and within a dynamic team environment to provide crucial support to Financial Advisors and the branch office.
• Onboards new clients, opens new client accounts, and researches client and security information using internal databases and other technologies.
• Ensures key client information and documentation is current with firm and industry requirements, rules and regulations.
• Processes and monitors the transfer of assets to ensure all assets and cost basis are successfully received.
• Monitors available cash awaiting investment, including running weekly cash and cash equivalent reports and contacting clients with investment opportunities to maximize returns.
• Reviews, assesses, and responds to all corporate action items and client account alerts.
• Prepares financial reports, spreadsheets and other materials for client meetings.
• Inputs orders and rebalances portfolios on behalf of the Financial Advisors.
• Creates and maintains records and files utilizing Client Relationship Management (CRM) software.
• Assists Financial Advisors with marketing efforts including seminars and other client-facing events.
• Actively engages in available training, cross-training, and educational and/or professional development opportunities to stay current on firm and industry policies and procedures.
• Performs other duties and responsibilities as assigned.

• Knowledge of company structure, policies, mission, and strategies.
• Managed account platforms and CRM software.
• General office practices, procedures, and methods.
• Investment concepts, practices, and procedures used in the securities industry.
• Understanding of financial markets, products and industry regulations; trading terminology.
• Excel, including developing spreadsheets and ongoing reporting.
• Effective communication across multiple client interaction platforms (in-person, virtual, phone, mail).
• Ability to operate standard office equipment and software to produce correspondence, reports, electronic communications, spreadsheets, and databases.
• Ability to analyze and research account information and organize, manage, and track multiple tasks with changing priorities.
• Time-management skills to identify time-sensitive items and prioritize.
• Proactive follow-up to ensure completion and resolve errors or concerns; ability to handle stressful situations with a high level of customer service.
• Problem-solving in a fast-paced environment and mathematical aptitude for processing account and transaction information.
• Strong interpersonal skills for effective written and oral communication with all organizational levels, both in person and virtually.
• Ability to work both independently and as part of a team.
• Commitment to providing a high level of customer service.

• High School Diploma or equivalent and one (1) or more years securities industry or related work experience preferred, or an equivalent combination of experience, education, and/or training as approved by Human Resources.

• SIE required unless exemption or grandfathering applies.
• Series 7 required.
• Series 63, 65 and/or 66 as required by state.

• Less than 25%

• 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 are an equal opportunity employer and make all employment decisions on the basis of merit and business needs. The Company values the uniqueness, experiences, and backgrounds of all Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive.