Senior Registered Client Service Associate (San Francisco, CA)

100 Raymond James & Associates, Inc.; San Francisco (CA); On-site; USD 45,000 - 95,000; Full time

Benefits offered by this job

Benefits package

Job summary

Raymond James & Associates, Inc. in San Francisco, CA seeks a Registered Client Service Associate to deliver high-touch administrative support to Financial Advisors and clients.

You will handle onboarding, client inquiries, scheduling, and reporting, while ensuring compliance and accurate data across internal systems. The role requires a high school diploma with 5 years in financial services, SIE and Series 7 licensing, and the ability to manage multiple priorities in a fast-paced team

Qualifications

• High school diploma or equivalent with 5 years of financial services experience.
• SIE certification required; exemption/grandfathering may not apply.
• Series 7 required; Series 63/65/66 may be required by state.
• Ability to obtain additional securities registrations if required.

Responsibilities

• Serve as first point of contact for a high volume of client interactions via phone, in person, and email.
• Assist Financial Advisors with onboarding, liquidity events, and client communications.
• Enter trades and manage model maintenance at advisor direction.
• Create reports to improve practice efficiency and track performance metrics.
• Support marketing efforts for client-facing events and seminars.

Skills

CRM software

Goal planning software

Excel

Communication across platforms

Education

High School Diploma or equivalent

SIE

Series 7

Series 63/65/66

Tools

Microsoft Office

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 set up 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.
• 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 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) (Required)

Work Experience

General Experience - 7 to 12 months

Salary Range

$45,000.00-$95,000.00

Travel

Less than 25%

Workstyle

Resident

Benefits

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

Company Culture

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

When associates bring their best authentic selves, our organization, clients, and communities thrive.

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.

#LI-DW Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm. Today, Raymond James has locations and subsidiaries across the United States, Canada, the United Kingdom and Germany, and is listed on the NewYork Stock Exchange under the symbol RJF.

Thanks for your interest in working with Raymond James. While we might not have the perfect role for you today, we'd love to keep in touch. Join our Talent Network to stay up to date on career opportunities that may be a good fit for you. Our business is deeply focused on people and their financial well‑being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good aren't mutually exclusive. As an established but ever‑evolving company, you can start – or continue – growing your career here. We invest in you with wide‑ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow. Our people‑first culture is outlined in our Culture Blueprint. Check it out to see why many choose to work at Raymond James – and why they stay.