Registered Client Service Associate-Charleston, SC

Raymond James • Charleston, SC

6d • Onsite

About The Position

Raymond James is seeking a motivated, detail-oriented and creative problem solver to provide high-quality administrative support to Financial Advisors, prospective and existing clients, and other branch staff. The role serves as a key point of contact for client service and supports account administration and branch operations. It requires effective communication across phone, email, in-person and virtual channels, along with the ability to organize and track detailed assignments as priorities and deadlines change in a fast-paced environment.

The position also involves keeping client information and documentation current with firm and industry requirements, supporting investment-related account activity, preparing materials for client meetings, and assisting with marketing and client-facing events. Associates are expected to pursue available training and professional development to remain current on firm and industry policies and procedures. Raymond James describes its workstyle as Resident, with travel of less than 25%.

Requirements

• High school diploma or equivalent; completed high school is required.
• One or more years of securities-industry or related work experience is preferred, or an equivalent combination of experience, education, and/or training as approved by Human Resources.
• SIE required, unless an exemption or grandfathering applies.
• Series 7 required.
• Series 63, 65, and/or 66 as required by state.
• Knowledge of the company’s working structure, policies, mission, and strategies.
• Knowledge of managed account platforms, general office practices, investment concepts and procedures used in the securities industry, financial markets, products, industry regulations, and trading terminology.
• Ability to use CRM or similar contact-management software, goal-planning software, and Excel, including developing spreadsheets for reporting.
• Effective communication across in-person, virtual, phone, and mail channels, both orally and in writing, with all organizational levels.
• Ability to operate standard office equipment and use software applications to produce correspondence, reports, electronic communications, spreadsheets, and databases.
• Ability to analyze and research account information and use mathematics sufficient to process account and transaction information.
• Ability to organize and track multiple detailed tasks amid frequently changing priorities and deadlines; identify time-sensitive items and assess competing priorities.
• Ability to take initiative, follow up proactively on submitted items, and resolve errors, questions, or concerns.
• Ability to handle stressful situations and provide calm, professional, high-level customer service.
• Ability to analyze problems and establish solutions in a fast-paced environment.
• Ability to work independently and as part of a cohesive team.

Nice To Haves

• One or more years of securities-industry or related work experience is preferred.

Responsibilities

• Serve as a first point of contact for a high volume of daily client interactions, handle basic inquiries, provide quotes, and schedule meetings by phone, in person, virtually, and through mailings.
• Work independently and with the team to support Financial Advisors and the branch office.
• Onboard clients, open accounts, and research client and security information using internal databases and other technologies.
• Maintain client information and documentation in accordance with firm and industry requirements, rules, and regulations.
• Process and monitor asset transfers, confirming assets and cost basis were successfully received.
• Monitor available cash awaiting investment, run weekly cash and cash-equivalent reports, and contact clients about 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 using Client Relationship Management (CRM) software.
• Assist Financial Advisors with marketing efforts, including seminars and other client-facing events.
• Participate in available training, cross-training, and educational or professional development opportunities to remain current on firm and industry policies and procedures.
• Perform other duties and responsibilities as assigned.

Benefits

• Medical, dental, and vision coverage may be available.
• Life insurance may be available.
• Critical illness and accident insurance may be available.
• Disability benefits may be available.
• Retirement savings benefits may be available.
• Paid time off, including vacation, holidays, and sick leave, may be available.
• Parental leave may be available.
• Compensation may include additional cash or equity compensation, discretionary bonuses, or commissions.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: High school or GED