Registered Client Service Associate - Greenwich, CT

Raymond James•Greenwich, CT

21h•$55,000 - $81,000•Hybrid

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 branch staff. The role serves as a key point of contact for client interactions across phone, email, in-person, virtual and mail channels. It requires organizing, managing and tracking multiple detailed tasks amid changing priorities and deadlines in a fast-paced, task-oriented environment. The associate supports client onboarding and account servicing, maintains required client documentation, assists with asset transfers and cash monitoring, and helps prepare materials and manage investment-related account activity for Financial Advisors. The position is hybrid and offers a salary range of $55,000 to $81,000. Travel is less than 25%.

Requirements

High school diploma or equivalent.
SIE, unless an exemption or grandfathering applies.
Series 7 license.
Series 63, 65 and/or 66, as required by state.
Ability to communicate effectively across in-person, virtual, phone and mail channels.
Ability to organize, manage and track multiple detailed tasks and assignments with changing priorities and deadlines.
Ability to identify time-sensitive items and assess competing priorities.
Ability to take initiative and follow up proactively to ensure submitted items are completed, resolving errors, questions or concerns.
Ability to handle stressful situations and provide calm, professional customer service.
Ability to analyze problems and establish solutions in a fast-paced environment.
Ability to use mathematics sufficient to process account and transaction information.
Ability to communicate orally and in writing with all organizational levels, in person and virtually.
Ability to work independently and as part of a team.
Ability to analyze and research account information.
Knowledge of managed account platforms, investment concepts and practices, financial markets, financial products, industry regulations and trading terminology.
Knowledge of general office practices, procedures and methods, and the company’s working structure, policies, mission and strategies.
Familiarity with CRM or similar contact-management software and goal-planning software.
Ability to use Excel to develop spreadsheets and support ongoing reporting.
Ability to operate standard office equipment and required software to produce correspondence, reports, electronic communications, spreadsheets and databases.

Nice To Haves

One or more years of securities industry or related work experience.
Equivalent combination of experience, education and/or training, as approved by Human Resources.

Responsibilities

Serve as a first point of contact for a high volume of daily interactions, including basic inquiries, providing quotes and scheduling meetings with prospective and existing clients.
Support Financial Advisors and the branch office, working independently and within a team.
Onboard new clients, open client accounts, and research client and security information using internal databases and other technologies.
Keep client information and documentation current with firm and industry requirements, rules and regulations.
Process and monitor asset transfers, confirming that assets and cost basis were received successfully.
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 CRM software.
Assist Financial Advisors with marketing efforts, including seminars and other client-facing events.
Participate in 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.