Registered Client Service Associate (Atlanta, GA)

Raymond James•Atlanta, GA

3d•Onsite

About The Position

Raymond James is seeking a motivated, detail-oriented and creative problem solver to provide administrative and client-service support to Financial Advisors, prospective and existing clients, and other branch staff. The role serves as a first point of contact for a high volume of daily interactions across phone, email, in-person, virtual and mail channels. It requires effective communication and the ability to organize, manage and track multiple detailed tasks amid changing priorities and deadlines in a fast-paced environment. The associate supports client onboarding and account opening, researches client and security information, maintains required records and documentation, monitors asset transfers and available cash, responds to corporate actions and account alerts, and assists with investment-related and client-meeting tasks. The role also contributes to advisor marketing and client events and involves ongoing training and professional development.

Requirements

High school diploma or equivalent; an equivalent combination of experience, education and/or training may be considered 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 state.
Knowledge of company structure, policies, mission and strategies; managed account platforms; general office practices; investment concepts and securities-industry procedures; financial markets, products and regulations; and trading terminology.
Ability to use CRM or similar contact-management software, goal-planning software, Excel, standard office equipment and required software applications.
Effective communication across client-interaction platforms, including in person, virtually, by phone and by mail.
Ability to analyze and research account information; organize, manage and track detailed assignments with changing priorities and deadlines; and identify time-sensitive items and competing priorities.
Ability to take initiative and follow up on submitted items, resolve errors and questions, and handle stressful situations calmly and professionally while providing a high level of customer service.
Ability to analyze problems, establish solutions in a fast-paced environment, and use mathematics sufficient to process account and transaction information.
Effective oral and written communication and interpersonal skills with all organizational levels.
Ability to work independently and as part of a cohesive team.
General experience listed as 7 to 12 months.

Nice To Haves

One or more years of securities-industry or related work experience is preferred.

Responsibilities

Serve as the first point of contact for a high volume of daily client interactions, handle basic inquiries, provide quotes, and schedule meetings across phone, in-person, virtual and mail channels.
Work independently and as part of a dynamic team to support Financial Advisors and the branch office.
Onboard 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 and confirm assets and cost basis were 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, including seminars and other client-facing events.
Participate in training, cross-training, educational and professional development opportunities to stay current on firm and industry policies and procedures.
Perform other duties and responsibilities as assigned.