Registered Client Service Associate

• Provide sales support and administrative duties for the Financial Advisors of Central Investment Center
• Assist Financial Advisors with daily sales support
• Act as liaison between Financial Advisors and clients while following FINRA guidelines as a registered sales assistant
• Answer incoming calls and provide telephone support
• Schedule appointments and prepare materials for client meetings
• Open the CIC office to the public, including potentially disarming the alarm and turning on lights
• Prepare and complete client paperwork and follow-up tasks
• Assist with processing business, including entering trades as instructed
• Conduct proactive outreach for time-sensitive activities such as RMDs and client reviews
• Serve clients by phone, virtual visits, and in person
• Schedule financial review and follow-up meetings
• Process IRA and Preferred account distribution requests, including placing trades where appropriate
• Coordinate with internal departments to ensure timely service delivery
• Handle mail and email related to client requests
• Maintain compliance with company, state, and federal rules and regulations
• Submit marketing items for approval and maintain marketing records
• Maintain office organization and filing
• Record client communications in the CRM
• Use the Raymond James back office support system for client accounts
• Assist with obtaining new account numbers
• Provide backup for daily deposits and enter details in the Raymond James system
• Balance records and send account information to Raymond James for processing
• Log incoming checks, copy them, and overnight mail them to Raymond James
• Maintain a tickler file and follow through on requests
• Educate clients on account services, capabilities, and new technology
• Complete required corporate training and follow implementation guidelines
• Perform general administrative services and other assigned duties

• Bachelor’s degree preferred
• FINRA Series 7 and 63 licenses
• Life Insurance License preferred
• One+ years’ experience in brokerage industry
• Strong work ethic
• Ability to prioritize several tasks
• Good planning and problem-solving skills
• Excellent written and verbal communication skills
• Dependability and accuracy
• Strong problem solving, organization and time management skills
• Commitment to customer service
• Knowledge of investments required

Demonstrates expertise in sales support and administrative functions within the financial services sector, ensuring compliance with FINRA guidelines while providing exceptional client service and maintaining accurate records.

• FINRA Series 7 License
• FINRA Series 63 License
• Knowledge Of Investments
• Client Relationship Management
• Time Management

• Client Paperwork Processing
• Trade Entry
• Appointment Scheduling
• Office Organization
• Client Communication

• Strong Work Ethic
• Problem-Solving Skills
• Excellent Communication Skills
• Dependability
• Customer Service Commitment

• Bachelor’s Degree Preferred
• Life Insurance License Preferred

• Brokerage Industry
• FINRA Guidelines
• Client Reviews
• IRA Distribution Requests
• Marketing Records

• Raymond James Back Office Support System
• CRM Software