Registered Client Service Associate-Charlotte, NC

Raymond James•Charlotte, NC

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 clients and supports branch operations in a fast-paced, task-oriented environment with changing priorities and deadlines. It requires effective communication across phone, email, in-person, and virtual channels, along with the ability to organize and track multiple detailed tasks. The position is resident in Charlotte, North Carolina, and requires less than 25% travel. The associate supports client onboarding and account servicing, maintains client records and required documentation, monitors asset transfers and available cash, responds to account alerts and corporate actions, prepares meeting materials, and assists with orders and portfolio rebalancing on behalf of Financial Advisors. The role also supports marketing and client events and requires ongoing training to stay current with firm and industry policies and procedures. Raymond James describes a people-first culture and guiding behaviors of Develop, Collaborate, Decide, Deliver, and Improve. The company is an equal opportunity employer. Total compensation includes base salary or wages and may include additional compensation, discretionary bonuses, or commissions. Benefits may include medical, dental, and vision coverage; life, critical illness, accident, and disability insurance; retirement savings; paid time off; and parental leave. Eligibility and specific offerings may vary by position and employment status.

Requirements

High school diploma or equivalent, or an equivalent combination of experience, education, and/or training as approved by Human Resources.
At least one year of securities-industry or related work experience is preferred; the posting also lists general experience of 7 to 12 months.
SIE required unless an exemption or grandfathering applies.
Series 7 required.
Series 63, 65, and/or 66 required as applicable by state.
Knowledge of general office practices, procedures, and methods.
Knowledge of investment concepts and practices used in the securities industry, financial markets, financial products, industry regulations, and trading terminology.
Knowledge of managed account platforms, CRM or similar contact management software, and goal-planning software.
Proficiency with Excel, including developing spreadsheets for ongoing reporting, and with standard office equipment and required software applications.
Ability to communicate effectively across in-person, virtual, phone, and mail channels, orally and in writing, with people at all organizational levels.
Ability to organize, manage, and track multiple detailed tasks amid frequently changing priorities and deadlines.
Ability to identify time-sensitive items, assess competing priorities, take initiative, follow up on submitted items, and resolve errors, questions, or concerns.
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 handle stressful situations and provide calm, professional, high-quality customer service.
Ability to work independently and as part of a cohesive team.

Nice To Haves

One or more years of securities-industry or related work experience.
Series 63, Series 65, and/or Series 66, as required by the applicable state.

Responsibilities

Serve as the first point of contact for a high volume of client interactions, handle basic inquiries, provide quotes, and schedule meetings by phone, in person, virtually, and through mailings.
Provide support to Financial Advisors and the branch office, working independently and as part of a team.
Onboard new clients, open 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 to confirm that assets and cost basis have been 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, seminars, and other client-facing events.
Participate in training, cross-training, and educational or professional development opportunities to stay current on firm and industry policies and procedures.
Perform other duties and responsibilities as assigned.