Registered Client Service Associate

Raymond James•Remote - Florida, FL

9d•Remote

About The Position

Under general supervision, uses specialized knowledge and skills obtained through experience and/or formal training to assist Home Office associates and their direct family members in researching and resolving escalated issues. Recommends solutions to moderately complex problems. Extensive contact with clients via phone.

Requirements

High School Diploma or equivalent and three (3) years experience in the financial services industry, preferably including related service experience.
SIE required provided that an exemption or grandfathering cannot be applied.
Series 7 and 63 licenses required.
General Experience - 3 to 6 years
s63 - Uniform Securities Agent State Law Examination - Financial Industry Regulatory Authority (FINRA)
s7 - General Securities Representative Examination - Financial Industry Regulatory Authority (FINRA)
Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Nice To Haves

Associates and/or Bachelor’s Degree Preferred but not required.
An equivalent combination of experience, education, and/or training as approved by Human Resources.

Responsibilities

Acts as a liaison to Home Office associates and their direct family members to research and resolve escalated issues regarding clients’ accounts communicated via phone, correspondence, email and online inquiries; follows the issue all the way through resolution and final communications.
Determines best method to resolve issues to ensure client satisfaction and adherence to company policies.
Follows up, either verbally or in writing, to ensure client satisfaction.
Responds to incoming inquiries related to qualifications, instructions or paperwork requirements for various programs.
Addresses inquiries pertaining to operational policies and procedures and relay policies that govern the procedures handled at the retail level.
Communicates and coordinates with Home Office departments to resolve issues related to client accounts.
Reviews, maintains and documents weekly reports and the status of assigned tasks.
Executes trades based on verbal instructions.
Performs other duties and responsibilities as assigned.