Senior Registered Client Service Associate

Raymond James • Saint Louis, MO

1d • 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 branch staff. The role handles frequent client interactions across phone, email, in-person, virtual, and mail channels, and requires organizing and tracking detailed work amid changing priorities and deadlines in a fast-paced environment.

The associate supports client onboarding and account servicing, investment activity and monitoring, reporting, practice operations, and marketing efforts. The position also supports team workflow and efficiency, serves as a resource to junior team members, and participates in ongoing training and professional development. The role requires knowledge of securities industry practices, investment products and regulations, trading terminology, office procedures, and relevant software.

The education and experience requirement is a high school diploma or equivalent and five years of financial services industry experience, or an equivalent combination of experience, education, and training as approved by Human Resources. Required licenses include the SIE (unless an exemption or grandfathering applies) and Series 7; Series 63, 65, and/or 66 and additional registrations may be required depending on state requirements. Travel is less than 25%. The workstyle is listed as Resident.

Requirements

• High school diploma or equivalent and five years of financial services industry service experience, or an equivalent combination of experience, education, and training 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; ability to obtain additional securities and advisory state registrations if required.
• Knowledge of company structure, policies, mission, and strategies; managed account platforms; general office practices; securities industry investment concepts and procedures; financial markets, products, regulations, and trading terminology.
• Skill with CRM or similar contact management software, goal-planning software, and Excel, including developing spreadsheets and ongoing reports.
• Effective communication across in-person, virtual, phone, and mail channels.
• Ability to operate standard office equipment and required software to produce correspondence, reports, electronic communications, spreadsheets, and databases.
• Ability to analyze and research account information and use mathematics sufficient to process account and transaction information.
• Ability to organize, manage, and track detailed tasks amid changing priorities and deadlines in a fast-paced environment.
• Ability to identify time-sensitive items, assess competing priorities, follow up proactively, and resolve errors, questions, or concerns.
• Ability to handle stressful situations and provide calm, professional, high-quality customer service.
• Ability to analyze problems and establish solutions in a fast-paced environment.
• Ability to communicate effectively orally and in writing with all organizational levels, in person and virtually.
• Ability to work independently and as part of a cohesive team.

Responsibilities

• Serve as a first point of contact for a high volume of daily client interactions, including basic inquiries, quotes, and meeting scheduling, through phone, in-person, virtual, and mail channels.
• Help manage and standardize practices for new client onboarding, large client liquidity events, and private placement investment monitoring.
• Trade discretionary and non-discretionary products, maintain models, and track performance.
• Service alternative investments and foreign accounts, including account setup and maintenance.
• Participate in live meetings with Financial Advisors and their clients as needed.
• Manage and track Financial Advisor expenses and budgets.
• Create reports to improve practice efficiency, identify performance metrics, and help implement processes to enhance team performance.
• Onboard clients, open accounts, and research client and security information using internal databases and other technologies.
• Keep key client information and documentation current and compliant with firm and industry requirements, rules, and regulations.
• Provide support to Financial Advisors and the branch office independently and as part of a team.
• Solicit client orders at the direction of the Financial Advisor as permitted.
• Receive unsolicited client orders and enter unsolicited trades at the direction of the Financial Advisor as permitted.
• Assist Financial Advisors with marketing efforts, including seminars, mailings, and other client-facing events.
• Participate in training, cross-training, and educational or professional development opportunities to stay current on firm and industry policies and procedures.
• Mentor and support junior team members, manage team workflow, and work to improve operational efficiency.
• Perform other duties and responsibilities as assigned.

Benefits

• Medical insurance
• Dental insurance
• Vision insurance
• Life insurance
• Critical illness insurance
• Accident insurance
• Disability benefits
• Retirement savings
• Paid time off, including vacation, holidays, and sick leave
• Parental leave
• Additional compensation may include cash or equity, discretionary bonuses, or commissions

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: High school or GED