Senior Registered Client Service Associate (Newport Beach, CA)

Raymond James; Newport Beach (CA); On-site; USD 55,000 - 80,000; Full time

Benefits offered by this job

Medical, dental, and vision

Life insurance

Retirement savings

Paid time off

Job summary

Raymond James is seeking a dynamic Registered Client Service Associate to provide high-quality administrative support to Financial Advisors and their clients. The role emphasizes strong communication across phone, email, in-person, and virtual channels, with the ability to manage multiple tasks in a fast-paced environment.

The position involves onboarding new clients, scheduling meetings, handling client inquiries, and assisting with budgeting, reporting, and compliance.

Qualifications

• Five years of financial services industry service experience or equivalent

Responsibilities

• Serve as first point of contact to service a high volume of daily interactions with clients
• Assist Financial Advisors with onboarding, meetings, and client communications
• Prepare reports and monitor accounts for accuracy and regulatory compliance
• Support marketing efforts and client events
• Maintain client information and documentation in internal systems

Skills

CRM software

Communication

Excel

Goal planning

Education

High School Diploma

Tools

CRM software

Microsoft Excel

Job description

Job Description Summary

Supports Financial advisors and their prospective and existing clients and other branch staff team members. Demonstrates 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.

Job Description Summary

Supports Financial advisors and their prospective and existing clients and other branch staff team members. Demonstrates 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.

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.
• Helps manage and standardize best practices for various activities: new client on-boarding, large client liquidity events, private placement investment monitoring.
• Trading of both discretionary and non-discretionary products, model maintenance and performance tracking.
• Servicing of 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 more practice efficiencies, identify key practice performance metrics, and helps implement processes to further enhance the team’s 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 the financial advisors and branch office.
• May solicit order from clients at the direction of the Financial Advisor.
• Receives unsolicited orders from the clients; may enter unsolicited trades at the direction of the Financial Advisor.
• Assists Financial Advisors with marketing efforts including seminars, mail 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.
• Acts as mentor and resource to junior team members; manages team workflow and works towards creating greater team operational efficiencies.
• Performs other duties and responsibilities as assigned.

Knowledge Of

• Company’s working structure, policies, mission, and strategies.
• Managed account platforms.
• General office practices, procedures, and methods.
• Advanced 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. 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. Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
• 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. Handle stressful situations and provide a high level of customer service in a calm and professional manner.
• 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. Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.

Education/Previous Experience

• 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.

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.
• Ability to obtain additional securities and advisory state registrations if required by state.

Education

High School (HS)

Work Experience

General Experience - 7 to 12 months

Certifications

Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Salary Range

$55,000.00-$80,000.00

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

• 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

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.