Registered Client Service Associate-Charlotte, NC

Raymond James•Charlotte, NC

4d•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 frequently changing priorities and deadlines. The associate communicates with clients by phone, email, mail, in person and virtually, and works independently as well as within a team. The position is based in Charlotte, North Carolina, and has a resident workstyle. Travel is less than 25%.

Requirements

High school diploma or equivalent.
SIE required unless an exemption or grandfathering applies.
Series 7 required.
Series 63, 65 and/or 66 as required by state.
Ability to communicate effectively across client-interaction platforms, including in person, virtually, by phone and by mail.
Ability to organize, manage and track multiple detailed tasks and assignments amid frequently changing priorities and deadlines.
Ability to identify time-sensitive items, assess competing priorities, take initiative, follow up, and resolve errors, questions or concerns.
Ability to provide calm, professional, high-level customer service in stressful situations.
Ability to analyze account information and problems, research and establish solutions in a fast-paced environment.
Mathematical ability sufficient to process account and transaction information.
Ability to communicate orally and in writing with all organizational levels, in person and virtually.
Ability to work independently and as part of a cohesive team.
Ability to operate standard office equipment and use software to produce correspondence, reports, electronic communications, spreadsheets and databases.
Knowledge of general office practices, procedures and methods; investment concepts and securities-industry practices; financial markets, products and industry regulations; and trading terminology.
Knowledge of managed account platforms, CRM or similar contact-management software, goal-planning software, and Excel, including developing spreadsheets for ongoing reporting.
One or more years of securities-industry or related work experience preferred, or an equivalent combination of experience, education and/or training as approved by Human Resources.

Nice To Haves

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

Responsibilities

Serve as a first point of contact for a high volume of daily client interactions, handling basic inquiries, providing quotes and scheduling 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 new 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 to ensure 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 Client Relationship Management 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 remain current on firm and industry policies and procedures.
Perform other duties and responsibilities as assigned.