Registered Client Service Associate

Raymond James is a well-established company in the Financial Services industry, seeking a dynamic Registered Client Service Associate. This role involves providing high-quality administrative support to Financial Advisors and clients, managing client interactions, onboarding new clients, and ensuring compliance with documentation requirements.

Responsibilities

• Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes and scheduling of meetings, with prospective and existing clients on the phone, in-person, virtually and through mailings
• Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office
• 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
• Processes and monitors the transfer of assets to ensure all assets and cost basis were successfully received
• Monitors available cash awaiting investment, including running weekly cash and cash equivalent reports and contacting clients with investment opportunities to maximize returns
• Reviews, assesses and responds to all corporate action items and client account alerts
• Prepares financial reports, spreadsheets and other materials for client meetings
• Inputs orders and rebalances portfolios on behalf of the Financial Advisors
• Creates and maintains records and files utilizing Client Relationship Management (CRM) software
• Assists Financial Advisors with marketing efforts including seminars 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
• Performs other duties and responsibilities as assigned

Skills

• High School Diploma or equivalent
• One (1) or more years securities industry or related work experience preferred, 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
• Effective communication skills across multiple platforms (phone, email, in-person, virtual)
• Ability to organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment
• Ability to analyze and research account information
• Ability to handle stressful situations and provide a high level of customer service in a calm and professional manner
• Ability to work both independently and as part of a cohesive team
• Ability to take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns
• Ability to use mathematics sufficient to process account and transaction information
• Ability to use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels, in person and virtually

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