Registered Client Service Associate

About the Role

Raymond James is seeking a dynamic Registered Client Service Associate who is a motivated, detail-oriented, and creative problem solver. This role provides high-quality administrative support to Financial Advisors, their prospective and existing clients, and other branch staff.

Key Responsibilities

• Serve as the first point of contact for a high volume of daily interactions, including basic inquiries, providing quotes, and scheduling meetings.
• Work independently and within a dynamic team environment to provide crucial support to Financial Advisors and the branch office.
• Onboard new clients, open new client accounts, and research client and security information using internal databases and other technologies.
• Ensure client information and documentation are current with firm and industry requirements, rules, and regulations.
• Process and monitor the transfer of assets to ensure all assets and cost basis were successfully received.
• Monitor available cash awaiting investment, including running weekly cash and cash equivalent reports and contacting clients with investment opportunities.
• Review, assess, and respond to corporate action items and client account alerts.
• Prepare financial reports, spreadsheets, and other materials for client meetings.
• Input orders and rebalance portfolios on behalf of Financial Advisors.
• Create and maintain records and files utilizing Client Relationship Management (CRM) software.
• Assist Financial Advisors with marketing efforts, including seminars and other client-facing events.
• Actively engage in training and professional development opportunities to remain current on firm and industry policies and procedures.
• Perform other duties and responsibilities as assigned.

Requirements & Tech Stack

• Company’s working structure, policies, mission, and strategies.
• Managed account platforms.
• General office practices, procedures, and methods.
• Investment concepts, practices, and procedures used in the securities industry.
• Financial markets, products, and industry regulations.
• Trading terminology.
• Client Relationship Management (CRM) software, or similar contact management software.
• Goal planning software.
• Excel, including developing spreadsheets as needed and for ongoing reporting.
• Effective communication across multiple client interactive platforms (in-person, virtual, phone, and mail).
• Operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
• Analyze and research account information.
• Organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment.
• Identify time-sensitive items and assess competing priorities.
• Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions, or concerns.
• Handle stressful situations and provide a high level of customer service in a calm and professional manner.
• Analyze problems and establish solutions in a fast-paced environment.
• Use mathematics sufficient to process account and transaction information.
• Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels, in person and virtually.
• Work both independently and as part of a cohesive team.
• Provide a high level of customer service.

Qualifications

• High School Diploma or equivalent.
• One (1) or more years of securities industry or related work experience preferred, or an equivalent combination of experience, education, and/or training.
• SIE (Securities Industry Essentials Exam) required, provided that an exemption or grandfathering cannot be applied.
• Series 7 (General Securities Representative Examination) required.
• Series 63, 65 and/or 66 as required by state.