Service Associate - Series 7 & 63 Required

Raymond James•Remote - Florida, FL

3d•Remote

About The Position

Investment Central is a specialized department at the Raymond James home office that provides service to Raymond James clients using an approach similar to that of a branch. The licensed Service Associate is an initial point of contact for clients and provides service involving account issues, securities trading, and problem-solving. The role has no sales goal and focuses on delivering a Service 1st client experience. The associate handles client requests by inbound and outbound phone calls and electronic communications, collaborates with other home office departments, proactively contacts clients about account matters, executes client-directed trades, and processes transactions. Accounts may include trust, estate, and entity accounts. Typical work also includes responding to departmental inbox alerts, following up on rejected documents, documents due, and AML inquiries, and processing account terminations.

Requirements

High school diploma or equivalent.
Three years of experience in the financial services industry; related service experience is preferred.
SIE certification, unless an exemption or grandfathering applies.
Series 7 and Series 63 licenses.
Knowledge of call center best practices, account types, financial industry operations, securities trading, and inheritance case processing.
Organizational and time-management skills to prioritize workloads, manage multiple tasks, and meet deadlines.
Ability to operate standard office equipment and use required software to create correspondence, presentations, electronic communications, and spreadsheets.
Attention to detail while maintaining workflow.
Ability to follow up to ensure tasks are resolved and completed.
Ability to provide calm, courteous, and professional customer service.
Ability to establish and maintain effective working relationships throughout the organization.
Ability to organize, manage, and track detailed tasks and assignments amid frequently changing priorities in a fast-paced environment.
Effective oral and written communication skills for interacting with clients and home office colleagues.
Ability to work constructively under stress and pressure, including high workloads and deadlines.
Ability to work independently and collaboratively within a team.

Nice To Haves

Associate’s and/or bachelor’s degree.
Related service experience in the financial services industry.

Responsibilities

Address account-level issues through inbound phone calls and provide a positive client experience through inbound and outbound calls and electronic communications.
Work with other home office departments to resolve client account issues.
Contact clients proactively about important account matters and follow up on outstanding items.
Execute client-directed trades involving mutual funds, fixed income, and stocks.
Process client-directed transactions, including ACH transfers, wire transactions, and journal requests.
Manage a variety of accounts, including trust, estate, and entity accounts.
Uphold Raymond James’ Code of Business & Ethics and maintain a high level of integrity and compliance.
Respond to client requests ranging from account updates and trades to withdrawal requests.
Contact clients about rejected document submissions, documents due, AML inquiries, and other assigned tasks.
Monitor and respond to back-office alerts in the departmental inbox.
Review and process account terminations promptly.