Registered Client Service Associate (Cottonwood Heights, UT)

Raymond James • Salt Lake City, UT

2d • 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 interactions and supports account administration, investment-related processes, reporting, and branch marketing efforts. It requires effective communication across phone, email, mail, in-person, and virtual channels, along with the ability to manage detailed tasks amid changing priorities and deadlines in a fast-paced, task-oriented environment. The position is based in Cottonwood Heights, Utah, and has a resident workstyle. Travel is less than 25%.

Requirements

• High school diploma or equivalent.
• One or more years of securities-industry or related work experience preferred, or an equivalent combination of experience, education, and 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 the state.
• Knowledge of general office practices, procedures, and methods; investment concepts and securities-industry practices; financial markets, products, regulations, and trading terminology.
• Ability to communicate effectively across client-interaction platforms and organizational levels, orally and in writing.
• Ability to organize, manage, 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, and resolve errors, questions, or concerns.
• Ability to provide calm, professional, high-quality customer service, including in stressful situations.
• Ability to analyze and research account information, solve problems in a fast-paced environment, and use mathematics sufficient to process account and transaction information.
• Ability to work independently and as part of a cohesive team.
• Ability to operate standard office equipment and use software to produce correspondence, reports, electronic communications, spreadsheets, and databases.
• Working knowledge of CRM or similar contact-management software, goal-planning software, and Excel, including developing spreadsheets for reporting.
• Working knowledge of managed-account platforms.

Nice To Haves

• One or more years of securities-industry or related work experience.
• Equivalent combinations of experience, education, and training may be considered with Human Resources approval.

Responsibilities

• Serve as a first point of contact for a high volume of daily interactions, including basic inquiries, quotes, and meeting scheduling, through phone, in-person, virtual, and mail channels.
• Work independently and as part of a team to support Financial Advisors and the branch office.
• Onboard new clients, open client accounts, and research client and security information using internal databases and other technologies.
• Keep key client information and documentation current with firm and industry requirements, rules, and regulations.
• Process and monitor asset transfers to ensure assets and cost basis are received successfully.
• 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, 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 benefits may be available.
• Life insurance, critical illness insurance, 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.
• Additional compensation may include cash or equity, discretionary bonuses, or commissions.

What This Job Offers

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