Senior Registered Client Service Associate - Greenwich, CT

Raymond James - Greenwich, CT

Full-time - Mid Level

Greenwich, CT

Securities, Commodity Contracts, and Other Financial Investments and Related Activities

About the position

The Senior Registered Client Service Associate at Raymond James plays a crucial role in providing high-quality administrative support to Financial Advisors and their clients. This position requires effective communication skills and the ability to manage multiple tasks in a fast-paced environment. The associate will serve as the first point of contact for client interactions, assist in client onboarding, manage trading activities, and support marketing efforts, all while ensuring compliance with industry regulations.

Responsibilities

• Serve as the first point of contact for a high volume of daily client interactions, including inquiries and scheduling meetings.
• Manage and standardize best practices for client onboarding and liquidity events.
• Handle trading of discretionary and non-discretionary products, including model maintenance and performance tracking.
• Service alternative investments and foreign accounts, ensuring proper setup and maintenance.
• Participate in live meetings with Financial Advisors and clients as needed.
• Manage budgeting and tracking of Financial Advisor expenses.
• Create reports to enhance practice efficiencies and identify key performance metrics.
• Onboard new clients and open new client accounts, researching necessary information.
• Ensure client information and documentation comply with firm and industry requirements.
• Work independently and collaboratively within a team to support Financial Advisors and branch office operations.
• Solicit and receive orders from clients at the direction of the Financial Advisor.
• Assist with marketing efforts, including seminars and client-facing events.
• Engage in training and professional development opportunities to stay current on policies and procedures.
• Act as a mentor to junior team members and manage team workflow.

Requirements

• High School Diploma or equivalent with five years of financial services industry experience.
• Knowledge of managed account platforms and general office practices.
• Understanding of advanced investment concepts and financial markets.
• Proficiency in Client Relationship Management (CRM) software and Excel for reporting.
• Ability to analyze account information and manage multiple tasks with changing priorities.

Nice-to-haves

• Experience with trading terminology and practices in the securities industry.
• Familiarity with financial regulations and compliance requirements.

Benefits

• Comprehensive health insurance coverage.
• 401(k) retirement savings plan with company matching.
• Paid time off and holidays.
• Professional development opportunities.
• Employee discounts on services.