Senior Registered Client Relationship Associate

Raymond James • Deerfield, IL

106d • $55,000 - $85,000

About The Position

We are seeking to add a Senior Registered Client Relationship Associate to join our growing, high-performing financial services team. This is an exciting opportunity for a professional, who thrives in a collaborative environment and is passionate about delivering exceptional client service. As a key member of our expanding group, you’ll work alongside a team of financial advisors and associates, supporting client relationships, managing operational workflows, scheduling, and preparing for client meetings and learning all aspects of the operations of the team. If you understand that both collaboration and independent thinking go hand in hand, this is the right role for you.

Requirements

• High School Diploma or equivalent and five (5) years of financial services industry service experience, or an equivalent combination of experience, education, and/or training as approved by Human Resources.
• SIE required provided that an exemption or grandfathering cannot be applied.
• Series 7 required.
• Series 63, 65 and/or 66 as required by state.
• Ability to obtain additional securities and advisory state registrations if required by state.

Responsibilities

• Serves as first point of contact to service a high volume of daily interactions, and scheduling of meetings, with prospective and existing clients.
• Helps manage and standardize best practices for various activities: new client on-boarding, large client liquidity events, private placement investment monitoring.
• Trading of both discretionary and non-discretionary products, model maintenance and performance tracking.
• Servicing of alternative investments and foreign accounts, including setup and maintenance.
• May participate in live meetings with the Financial Advisor and their respective client(s).
• Manages budgeting and tracking of Financial Advisor expenses.
• Creates reports to build more practice efficiencies, identify key practice performance metrics, and helps implement processes to further enhance the team’s performance.
• Onboards new clients, opens new client accounts and researches client and security information using internal databases and other technologies.
• Ensures key client information and documentation is current with firm and industry requirements, rules and regulations.
• Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office.
• May solicit order from clients at the direction of the Financial Advisor.
• Receives unsolicited orders from the clients; may enter unsolicited trades at the direction of the Financial Advisor.
• Assists Financial Advisors with marketing efforts including seminars, mail and other client-facing events.
• Actively engages in available training/cross-training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures.
• Acts as mentor and resource to junior team members; manages team workflow and works towards creating greater team operational efficiencies.
• Performs other duties and responsibilities as assigned.

Benefits

• 401k
• 401k_matching
• dental_insurance
• health_insurance
• vision_insurance
• tuition_reimbursement
• paid_holidays
• paid_volunteer_time
• flexible_scheduling
• professional_development

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: High school or GED
• Number of Employees: 1-10 employees