Registered Client Service Associate

Raymond James • Wesley Chapel, FL

1d

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 involves frequent communication by phone, email, mail, in person, and virtually, while organizing and tracking multiple detailed tasks amid changing priorities and deadlines in a fast-paced environment. The position supports client service, account administration, investment-related processing, reporting, and advisor marketing efforts. Associates are also expected to pursue available training and professional development and to embody the firm's guiding behaviors: Develop, Collaborate, Decide, Deliver, and Improve.

Requirements

• High school diploma or equivalent; a high school education is required.
• SIE certification is required unless an exemption or grandfathering applies.
• Series 7 certification is required.
• Series 63, 65, and/or 66 certification as required by the state.
• Ability to communicate effectively across in-person, virtual, phone, and mail channels, both orally and in writing.
• Ability to organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines.
• Ability to identify time-sensitive items and assess competing priorities.
• Ability to take initiative, follow up proactively, and resolve errors, questions, or concerns.
• Ability to handle stressful situations and provide professional, high-level customer service.
• Ability to analyze problems and account information, research information, and establish solutions in a fast-paced environment.
• Mathematical ability sufficient to process account and transaction information.
• Ability to work independently and as part of a cohesive team.
• Knowledge of general office practices, procedures, and methods; investment concepts and securities-industry practices; financial markets, products, regulations, and trading terminology.
• Knowledge of managed account platforms, CRM or similar contact-management software, and goal-planning software.
• Ability to use Excel to develop spreadsheets and support ongoing reporting, and to operate standard office equipment and required software for correspondence, reports, communications, spreadsheets, and databases.

Nice To Haves

• One or more years of securities-industry or related work experience, or an equivalent combination of experience, education, and/or training approved by Human Resources.

Responsibilities

• Serve as the first point of contact for a high volume of daily client interactions, including basic inquiries, quotes, and meeting scheduling, through phone, in-person, virtual, and mail channels.
• Provide support to Financial Advisors and the branch office, working independently and as part of a team.
• 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 and confirm that assets and cost basis are 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 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
• Life insurance
• Critical illness insurance and accident insurance
• Disability benefits
• Retirement savings
• Paid time off, including vacation, holidays, and sick leave
• Parental leave
• Potential additional compensation, such as 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