Registered Client Service Associate

Raymond James•Wesley Chapel, FL

11d

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 branch staff. The role serves as a key point of contact for client service and requires effective communication by phone, email, mail, in person and virtually. The associate must organize and track detailed work while responding to changing priorities and deadlines in a fast-paced, task-oriented environment. The position also involves supporting account and asset processes, investment-related administration, client meeting preparation, marketing efforts, and ongoing professional development.

Requirements

High school diploma or equivalent.
SIE certification, unless an exemption or grandfathering applies.
Series 7 license.
Series 63, 65 and/or 66 as required by state.
Effective communication skills across in-person, virtual, phone and mail channels.
Ability to organize, manage and track multiple detailed assignments amid frequently changing priorities and deadlines.
Ability to identify time-sensitive items, assess competing priorities, take initiative and follow up to ensure completion.
Ability to resolve errors, questions and concerns; analyze problems and establish solutions in a fast-paced environment.
Ability to handle stressful situations while providing calm, professional, high-level customer service.
Ability to analyze and research account information and use mathematics sufficient to process account and transaction information.
Ability to communicate orally and in writing with all organizational levels and work independently or as part of a cohesive team.
Knowledge of general office practices, procedures and methods; financial markets, products and industry regulations; investment concepts and practices used in the securities industry; and trading terminology.
Familiarity with managed account platforms, CRM or similar contact-management software, goal-planning software, and Excel, including developing spreadsheets and ongoing reports.
Ability to operate standard office equipment and use required software applications to produce correspondence, reports, electronic 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 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.
Provide support to Financial Advisors and the branch office, working independently and as part of a team.
Onboard new clients, open new client accounts, and research client and security information using internal databases and other technologies.
Keep key client information and documentation current in accordance with firm and industry requirements, rules and regulations.
Process and monitor asset transfers to confirm assets and cost basis have been 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 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.