Service Associate - Series 7 & 63

Job Description Investment Central, a specialized department at the Raymond James home office, is dedicated to providing exceptional service to Raymond James’ clients. Although we operate as a home office department, our approach mirrors that of most Raymond James branches. As a licensed Service Associate, you will play a crucial role in our branch, serving as the initial point of contact for our clients.

Your expertise in customer service, securities trading, and problem-solving will enable you to deliver superior service to our valued clients. At Investment Central, you will not have a sales goal rather we want you to focus on delivering a Service 1st client experience.

• Service 1st Client
  
  Experience:
  
  Address account-level issues through inbound phone calls, ensuring a positive client experience.
• Provide a positive client experience to clients who contact Investment Central through inbound and outbound phone calls and electronic communications.
• Collaboration:
  
  Work closely with other home office departments to resolve client account issues.
• Proactive Client Communication:
  Reach out to clients proactively to address important matters related to their accounts and to follow up on other items.
• Trade Execution:
  Execute client-directed trades across various asset types, including mutual funds, fixed income, and stocks.
• Transaction Processing:
  Regularly handle client-directed transactions such as ACH transfers, wire transactions, and journal requests.
• Account Variety:
  Manage a diverse range of accounts, including trust accounts, estate accounts, and entity accounts.
• Code of Business Conduct & Ethics:
  Uphold a high level of integrity and compliance with Raymond James’ Code of Business & Ethics.

You will receive inbound customer inquiries through our call center and through email to assist clients on requests ranging from basic account updates to placing complicated trades to withdrawal requests. You will be assigned additional tasks requiring you to contact clients to address items such as rejected document submissions, documents due requests, AML inquiries, etc. You will help monitor and respond to back-office alerts in our departmental inbox.

You will review and process account terminations promptly.

• Call center best practices
• Account types and industry operations in general
• Securities Trading
• Inheritance Case processing

• Organizational and time management skills sufficient to prioritize workload, handle multiple tasks, and meet deadlines.
• Operating standard office equipment and using required software applications to produce correspondence, presentations, electronic communication and spreadsheets.
• Detail orientation to ensure quality standards are met without impairing workflow.
• Follow-up to ensure resolution and completion of tasks.

High School Diploma or equivalent and three (3) years’ experience in the financial services industry, preferably including related service experience. Associates and/or Bachelor’s Degree Preferred but not required.

SIE required provided that an exemption or grandfathering cannot be applied. Series 7 and 63 licensing required.

• High School (HS) - Completed
• Work Experience General Experience - 13 months to 3 years
• Certifications s7 - General Securities Representative Examination - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Travel Less than 25% Workstyle Remote

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

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…