Registered Client Service Associate (Clearwater, FL)

About the role

Raymond James is seeking a dynamic Registered Client Service Associate who is a motivated, detail oriented and creative problem solver to join our growing team. This essential role helps to provide high quality/high touch critical administrative support to Financial Advisors, their prospective and existing clients and other branch staff team members.

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

Qualifications

• High School Diploma or equivalent and 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

Skills

• Company's working structure, policies, mission, and strategies
• Managed account platforms
• General office practices, procedures, and methods
• Investment concepts, practices and procedures used in the securities industry
• Financial markets, products and industry regulations
• Trading terminology
• Client Relationship Management (CRM) software, or similar contact management software
• Goal planning software
• Excel, including developing spreadsheets as needed and for ongoing reporting
• Effective communication across multiple client interactive platforms (in-person, virtual, phone and mail)
• Operate standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases
• Analyze and research account information
• Organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment
• Identify time sensitive items and assess competing priorities
• Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns
• Handle stressful situations and provide a high level of customer service in a calm and professional manner
• Analyze problems and establish solutions in a fast paced environment
• Use mathematics sufficient to process account and transaction information
• Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels, in person and virtually
• Work both independently and as part of a cohesive team
• Provide a high level of customer service

Pay & Benefits

• The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions
• This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave
• Eligibility for benefits and specific offerings may vary based on position and employment status