Registered Client Service Associate

Raymond James; Birmingham (AL); On-site; USD 45,000 - 65,000; Full time

Benefits offered by this job

Medical, dental, and vision

Life insurance

Disability benefits

Retirement savings

Paid time off

Parental leave

Job summary

Raymond James in Birmingham, AL seeks a Registered Client Service Associate to deliver high-touch administrative support to Financial Advisors, clients, and staff. You will manage inquiries, schedule meetings, and help onboard clients while maintaining accuracy and compliance.

The role emphasizes communication across platforms and organization of multiple tasks in a fast-paced environment, with opportunities for professional development and client engagement.

Qualifications

• High School Diploma or equivalent; 1+ years securities industry or related experience preferred.
• Excellent communication across multiple platforms.
• Ability to organize, manage, and track multiple tasks with changing priorities.
• Proficiency with CRM and Excel for reporting.
• Knowledge of investment concepts and securities industry regulations.

Responsibilities

• Serve as first point of contact to service a high volume of daily interactions with clients by phone, in person, virtually or by mail.
• Provide support to financial advisors and branch staff; work independently and as part of a team.
• Onboard new clients, open accounts, and research client information using internal databases.
• Ensure client information and documentation meet firm and industry requirements.
• Process and monitor asset transfers to ensure successful receipt and cost basis.

Skills

CRM software

Excel

Communication

Client service

Time management

Problem solving

Financial services knowledge

Relationship building

Education

High School Diploma or equivalent

Tools

CRM software

Excel

Job description

Job Description Summary

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!

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:

• 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.

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.

Education

High School (HS) (Required)

Work Experience

General Experience - 7 to 12 months

Certifications

s66 - Uniform Combined State Law Examination - Financial Industry Regulatory Authority (FINRA), s7 - General Securities Representative Examination - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Travel

Less than 25%

Workstyle

Resident

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.

• 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)
• parental leave

To view more details of the benefits offered, visit Myrjbenefits.com.

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 outcomes
• 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

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

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