Registered Client Service Associate (Charlotte, NC)
Company: Raymond James Financial Incorporated
Location: Charlotte
Posted on: May 28, 2023
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Job Description:
Job Summary
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 to provide high
quality/high touch critical administrative support to Financial
Advisors, their prospective and existing clients and other branch
staff team members. The ideal candidate will have effective
communication skills across multiple platforms (phone, email,
in-person, virtual), as well as the 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. Come grow with us and see where a career at
Raymond James could take you!
Essential Duties and 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:
Knowledge, Skills, and Abilities
Knowledge of
---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.
Skill in
---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)
Ability to
---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.
Educational/Previous Experience Requirements
Education/Previous Experience
---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.
Licenses/Certifications
---SIE required provided that an exemption or grandfathering cannot
be applied.
---Series 7 required.
---Series 63, 65 and/or 66 as required by state.
Raymond James Guiding Behaviors
At Raymond James our associates use five guiding behaviors
(Develop, Collaborate, Decide, Deliver, Improve) to deliver on the
firm's core values of client-first, integrity, independence and a
conservative, long-term view.
We expect our associates at all levels to:
---Grow professionally and inspire others to do the same
---Work with and through others to achieve desired outcome
---Make prompt, pragmatic choices and act with the client in
mind
---Take ownership and hold themselves and others accountable for
delivering results that matter
---Contribute to the continuous evolution of the firm
Keywords: Raymond James Financial Incorporated, Charlotte , Registered Client Service Associate (Charlotte, NC), Other , Charlotte, North Carolina
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