Registered Client Service Associate

About the Role

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

Key Responsibilities

• Serve as the first point of contact for a high volume of daily interactions, including basic inquiries, providing quotes, and scheduling meetings with prospective and existing clients via phone, in-person, virtually, and through mailings.
• Provide crucial support to financial advisors and the branch office, working both independently and within a dynamic team environment.
• Onboard new clients, open new client accounts, and research client and security information using internal databases and other technologies.
• Ensure key client information and documentation are current with firm and industry requirements, rules, and regulations.
• Process and monitor the transfer of assets, ensuring all assets and cost basis are successfully received.
• Monitor available cash awaiting investment, run weekly cash and cash equivalent reports, and contact clients with investment opportunities to maximize returns.
• Review, assess, and respond to all 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 available training, cross-training, and educational/professional development opportunities to stay current on firm and industry policies and procedures.
• Perform other duties and responsibilities as assigned.

Requirements & Tech Stack

• Effective communication across multiple client interactive platforms (in-person, virtual, phone, and mail).
• Ability to organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment.
• Ability to identify time-sensitive items and assess competing priorities.
• Ability to take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions, or concerns.
• Ability to handle stressful situations and provide a high level of customer service in a calm and professional manner.
• Ability to analyze problems and establish solutions in a fast-paced environment.
• Proficiency in Excel, including developing spreadsheets as needed and for ongoing reporting.
• Experience with Client Relationship Management (CRM) software, or similar contact management software.
• Experience with goal planning software.
• Ability to analyze and research account information.
• Ability to use mathematics sufficient to process account and transaction information.
• Ability to use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels, in person and virtually.
• Ability to work both independently and as part of a cohesive team.
• Ability to provide a high level of customer service.
• Ability to operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Knowledge Areas

• 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.

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 as approved by Human Resources.
• 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.

Travel: Less than 25%

Workstyle: Resident