Senior Registered Client Service Associate

Celebrating more than 60 years of rich history and recognition for service and excellence in the Financial Services industry, 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 provide high-quality, high-touch critical administrative support to Financial Advisors, their prospective and existing clients, and other branch staff team members.

About the Role

Supports Financial Advisors and their prospective and existing clients, as well as other branch staff team members. Demonstrates effective communication skills across multiple platforms (phone, email, in-person, virtual), and the ability to organize, manage, and track multiple detailed tasks with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment.

Responsibilities

• Serves as the first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes, and scheduling meetings with prospective and existing clients via phone, in-person, virtually, and through mailings.
• Helps manage and standardize best practices for various activities: new client onboarding, large client liquidity events, and private placement investment monitoring.
• Handles trading of both discretionary and non-discretionary products, model maintenance, and performance tracking.
• Services alternative investments and foreign accounts, including setup and maintenance.
• May participate in live meetings with the Financial Advisor and their respective client(s).
• Manages budgeting and tracking of Financial Advisor expenses.
• Creates reports to build practice efficiencies, identify key practice performance metrics, and helps implement processes to enhance team performance.
• 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.
• Works both independently and within a dynamic team environment to provide crucial support to Financial Advisors and the branch office.
• May solicit orders from clients at the direction of the Financial Advisor.
• Receives unsolicited orders from clients; may enter unsolicited trades at the direction of the Financial Advisor.
• Assists Financial Advisors with marketing efforts, including seminars, mailings, and other client-facing events.
• Actively engages in available training, cross-training, and educational or professional development opportunities to remain current on firm and industry policies and procedures.
• Acts as a mentor and resource to junior team members; manages team workflow and works toward creating greater team operational efficiencies.
• Performs other duties and responsibilities as assigned.

Requirements

• High School Diploma or equivalent and five (5) years of financial services industry service experience, 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.
• Ability to obtain additional securities and advisory state registrations if required by state.

Skills

• Knowledge of the company’s working structure, policies, mission, and strategies.
• Familiarity with managed account platforms.
• Understanding of general office practices, procedures, and methods.
• Advanced investment concepts, practices, and procedures used in the securities industry.
• Knowledge of financial markets, products, and industry regulations.
• Familiarity with trading terminology.
• Proficiency in Client Relationship Management (CRM) software or similar contact management software.
• Experience with goal planning software.
• Advanced Excel skills, including developing spreadsheets and ongoing reporting.
• Effective communication across multiple client interactive platforms (in-person, virtual, phone, and mail).
• Ability to operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
• Strong analytical and research skills for account information.
• Ability to organize, manage, and track multiple detailed tasks with frequently changing priorities and deadlines in a fast-paced environment.
• Ability to identify time-sensitive items and assess competing priorities.
• Initiative to proactively follow up on submitted items to ensure completion; resolve errors, questions, or concerns.
• Ability to handle stressful situations and provide a high level of customer service in a calm and professional manner.
• Problem-solving skills to analyze issues and establish solutions in a fast-paced environment.
• Mathematical skills sufficient to process account and transaction information.
• Strong interpersonal skills to communicate effectively, both orally and in writing, with all organizational levels, in person and virtually.
• Ability to work both independently and as part of a cohesive team.
• Commitment to providing a high level of customer service.

Qualifications

• Bachelor’s degree in Accounting, Business Administration, Finance, or related field (preferred).
• General experience of 7 to 12 months in a relevant role.
• Certifications as required by the role (e.g., SIE, Series 7, Series 63/65/66).
• Travel less than 25%.

Benefits

This position is eligible for a benefits package that may include:

• Medical, dental, and vision insurance.
• Life insurance, critical illness insurance, and accident insurance.
• Disability benefits.
• Retirement savings plans.
• Paid time off, including vacation, holidays, and sick leave.
• Parental leave.

Eligibility for benefits and specific offerings may vary based on position and employment status. For more details, visit Myrjbenefits.com.

Pay

The total compensation for this position includes base salary or wages and may include additional components such as cash or equity-based compensation, discretionary bonuses, or commissions.