Registered Client Service Associate

Raymond James Financial, Inc.; Medina (OH); On-site; USD 40,000 - 70,000; Full time

Job summary

An established industry player is looking for a dynamic Registered Client Service Associate to join their team. This role is vital in providing high-quality administrative support to Financial Advisors and clients, ensuring efficient communication and organization. The ideal candidate will thrive in a fast-paced environment, managing multiple tasks while delivering exceptional customer service. This position offers an opportunity to grow professionally within a respected firm that values integrity and client-first principles. Join a collaborative team where your contributions can make a significant impact on clients' financial journeys.

Qualifications

• High School Diploma or equivalent; securities industry experience preferred.
• 4 to 6 months general experience in a related field.

Responsibilities

• Serve as the first point of contact for client inquiries and scheduling.
• Onboard new clients and ensure compliance with documentation.
• Prepare financial reports and assist Financial Advisors with marketing.

Skills

Effective communication

Organizational skills

Problem-solving

CRM software proficiency

Excel skills

Customer service skills

Understanding of investment concepts

Ability to analyze account information

Education

High School Diploma

Tools

CRM software

Excel

Job description

Registered Client Service Associate page is loaded

Registered Client Service Associate

Apply locations Medina, Ohio - United States
time type Full time
posted on Posted 18 Days Ago
job requisition id R-0003829

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:

1. Serve 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, virtual, and mailings.
2. Work both independently and within a dynamic team environment to support financial advisors and the branch office.
3. Onboard new clients, open new client accounts, and research client and security information using internal databases and other technologies.
4. Ensure that key client information and documentation are current and compliant with firm and industry requirements, rules, and regulations.
5. Process and monitor asset transfers to ensure all assets and cost basis information are successfully received.
6. Monitor available cash awaiting investment, generate weekly cash reports, and contact clients about investment opportunities to maximize returns.
7. Review, assess, and respond to all corporate action items and client account alerts.
8. Prepare financial reports, spreadsheets, and other materials for client meetings.
9. Input orders and rebalance portfolios on behalf of Financial Advisors.
10. Create and maintain records and files using CRM software.
11. Assist Financial Advisors with marketing efforts, including seminars and client-facing events.
12. Engage in training, cross-training, and professional development to stay current on policies and procedures.
13. Perform other duties and responsibilities as assigned.

Skills:

• Understanding of company structure, policies, mission, and strategies.
• Experience with managed account platforms.
• Knowledge of office practices, procedures, and methods.
• Understanding of investment concepts, practices, and securities industry regulations.
• Familiarity with trading terminology.
• Proficiency with CRM software and goal planning tools.
• Excel skills for developing spreadsheets and reporting.
• Effective communication across multiple platforms (in-person, virtual, phone, mail).
• Ability to operate office equipment and use software for correspondence, reports, and databases.
• Ability to analyze and research account information.
• Organizational skills to manage multiple tasks with changing priorities.
• Ability to identify time-sensitive items and assess priorities.
• Proactive follow-up skills to ensure completion of tasks.
• Calm and professional customer service skills, even under stress.
• Problem-solving skills in a fast-paced environment.
• Mathematical skills for processing account and transaction data.
• Excellent interpersonal and communication skills, both oral and written.
• Ability to work independently and as part of a team.
• Commitment to providing high-level customer service.

Education/Previous Experience:

• High School Diploma or equivalent; securities industry or related experience preferred.

Licenses/Certifications:

• SIE required (exemption or grandfathering not applicable).
• Series 7 required.
• Series 63, 65, and/or 66 as required by state.

Education

High School (HS)

Work Experience

4 to 6 months general experience

Certifications

Securities Industry Essentials Exam (SIE), Series 63, Series 65, Series 66, Series 7 as per FINRA requirements.

Travel

Less than 25%

Workstyle

Resident

At Raymond James, associates utilize five guiding behaviors: Develop, Collaborate, Decide, Deliver, Improve, to embody the firm's core values of client-first, integrity, independence, and a long-term perspective.

We expect our associates to grow professionally, work collaboratively, make pragmatic decisions with the client in mind, take ownership, and contribute to the firm's evolution.

We value and respect the diversity of our associates, fostering an inclusive culture where authenticity and background are celebrated. Raymond James is an equal opportunity employer, making employment decisions based on merit and business needs.