Registered Client Service Associate (Cottonwood Heights, UT)

Raymond James • Cottonwood Heights, UT

1d • Onsite

About The Position

Raymond James is seeking a motivated, detail-oriented Registered Client Service Associate to provide high-quality administrative support to Financial Advisors, prospective and existing clients, and branch staff. The role serves as a primary point of contact for client interactions across phone, email, in-person, virtual, and mail channels. It requires effective communication and the ability to organize and track detailed tasks amid changing priorities and deadlines in a fast-paced, task-oriented environment.

The associate supports client onboarding and account servicing, maintains current client documentation, monitors asset transfers and available cash, handles account alerts and corporate actions, and prepares materials for client meetings. The role also supports advisor trading, portfolio rebalancing, CRM recordkeeping, marketing events, and ongoing professional development. Raymond James describes its culture through the guiding behaviors Develop, Collaborate, Decide, Deliver, and Improve, and emphasizes client-first service, integrity, independence, and a conservative, long-term view.

Requirements

• High school diploma or equivalent; an equivalent combination of experience, education, and/or training may be accepted 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.
• Effective communication skills across in-person, virtual, phone, email, and mail channels.
• Ability to organize, manage, and track detailed tasks with frequently changing priorities and deadlines in a fast-paced environment.
• Knowledge of general office practices, procedures, and methods; investment concepts and securities-industry practices; financial markets, products, and industry regulations; and trading terminology.
• Ability to use managed account platforms, CRM or similar contact-management software, goal-planning software, Excel, standard office equipment, and required software applications.
• Ability to analyze and research account information, identify time-sensitive items, assess competing priorities, and follow up proactively to ensure submitted items are completed.
• Ability to resolve errors, questions, and concerns; analyze problems and establish solutions; and handle stressful situations while providing calm, professional customer service.
• Mathematical ability sufficient to process account and transaction information.
• Ability to communicate orally and in writing with all organizational levels and work independently as well as part of a cohesive team.
• One 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.

Nice To Haves

• One or more years of securities-industry or related work experience.
• Experience or familiarity with managed account platforms, CRM software, goal-planning software, and Excel.

Responsibilities

• Serve as a first point of contact for a high volume of daily client interactions, responding to basic inquiries, providing quotes, and scheduling meetings by phone, in person, virtually, and through mailings.
• Work independently and as part of a team to support Financial Advisors and the branch office.
• Onboard clients, open client accounts, and research client and security information using internal databases and other technologies.
• Keep client information and documentation current in accordance with firm and industry requirements, rules, and regulations.
• Process and monitor asset transfers and verify receipt of assets and cost basis.
• Monitor 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 CRM software.
• Assist Financial Advisors with marketing efforts, seminars, and other client-facing events.
• Participate in available training, cross-training, educational, and 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.
• Total 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