Senior Registered Client Service Associate (Las Vegas, NV)

Raymond James•Las Vegas, NV

16d•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 serves as a key point of contact for client service and supports account administration, trading-related activities, practice operations, and team efficiency. It requires effective communication across phone, email, in-person and virtual channels, along with the ability to manage multiple detailed tasks and shifting priorities in a fast-paced environment. The position also supports client onboarding and account maintenance, monitors compliance-related documentation, assists with marketing and client events, and helps develop efficient team processes. The associate may participate in client meetings, handle client orders as directed, mentor junior team members, and pursue ongoing training and professional development. The listed workstyle is Resident, and travel is less than 25%.

Requirements

High school diploma or equivalent and five years of financial services industry service experience, or an equivalent combination of experience, education and/or 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 the company’s structure, policies, mission and strategies; managed account platforms; general office practices; advanced investment concepts and procedures; financial markets, products and 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 multiple detailed tasks amid changing priorities and deadlines; identify time-sensitive items and assess competing priorities.
Ability to take initiative, follow up on submitted items, ensure completion, 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, and to work independently and as part of a cohesive team.
General experience listed as 6 to 10 years.

Responsibilities

Serve as the first point of contact for high-volume daily client interactions, including inquiries, quotes and meeting scheduling, by phone, in person, virtually and through mailings.
Help manage and standardize best 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 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 support process improvements.
Onboard clients, open 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.
Provide support to Financial Advisors and the branch office, independently and as part of a team.
Solicit client orders when directed by a Financial Advisor and receive unsolicited client orders; enter unsolicited trades when directed by a Financial Advisor.
Assist Financial Advisors with marketing, including seminars, mailings 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.
Mentor and support junior team members, manage team workflow and work toward greater operational efficiency.
Perform other duties and responsibilities as assigned.