Service Associate - Series 7 & 63 Required

130 Raymond James Financial Services, Inc.; Saint Petersburg (FL); Hybrid; USD 48,000 - 64,000; Full time

Benefits offered by this job

Medical, dental, and vision

Life insurance

Disability benefits

Retirement savings

Paid time off (vacation, holidays, and

sick leave

Parental leave

Job summary

Raymond James Financial Services, Inc. is hiring a Service Associate for Investment Central, the home office branch that mirrors client-facing service in a typical Raymond James location.

You will act as the first contact for clients, handling inbound calls, emails, and trade requests with focus on a Service 1st experience. The role emphasizes accuracy, collaboration with other departments, and proactive client communications, while handling accounts including trusts and estates in a hybrid work

Qualifications

• High School Diploma or equivalent with 3 years in financial services, preferably including service experience.
• Associates and/or Bachelor’s Degree preferred but not required.

Responsibilities

• Address account-level issues via inbound calls to ensure a positive client experience.
• Provide service-centric support to Investment Central clients via calls and emails.
• Collaborate with home office departments to resolve client account issues.
• Proactively reach out to clients regarding account matters and follow up on items.
• Execute client-directed trades across mutual funds, fixed income, and stocks.
• Process client transactions such as ACH transfers, wires, and journal requests.
• Manage diverse accounts including trusts, estates, and entity accounts.

Skills

Customer service

Securities trading

Problem solving

Call center

Communication

Education

High School diploma

Associates or Bachelor’s preferred

Tools

SIE license

Series 7 license

Series 63 license

Job description

Job Description Summary

Investment Central, a specialized department at the Raymond James home office, is dedicated to providing exceptional service to Raymond James’ clients. Although we operate as a home office department, our approach mirrors that of most Raymond James branches. As a licensed Service Associate, you will play a crucial role in our branch, serving as the initial point of contact for our clients. Your expertise in customer service, securities trading, and problem-solving will enable you to deliver superior service to our valued clients. At Investment Central, you will not have a sales goal rather we want you to focus on delivering a Service 1st client experience.

Essential Duties and Responsibilities

Service 1st Client Experience: Address account-level issues through inbound phone calls, ensuring a positive client experience.

Provide a positive client experience to clients who contact Investment Central through inbound and outbound phone calls and electronic communications.

Collaboration: Work closely with other home office departments to resolve client account issues.

Proactive Client Communication: Reach out to clients proactively to address important matters related to their accounts and to follow up on other items.

Trade Execution

Execute client-directed trades across various asset types, including mutual funds, fixed income, and stocks.

Transaction Processing

Regularly handle client-directed transactions such as ACH transfers, wire transactions, and journal requests.

Account Variety

Manage a diverse range of accounts, including trust accounts, estate accounts, and entity accounts.

Code of Business Conduct & Ethics

Uphold a high level of integrity and compliance with Raymond James’ Code of Business & Ethics.

What does a typical day look like for a Service Associate?

You will receive inbound customer inquiries through our call center and through email to assist clients on requests ranging from basic account updates to placing complicated trades to withdrawal requests. You will be assigned additional tasks requiring you to contact clients to address items such as rejected document submissions, documents due requests, AML inquiries, etc. You will help monitor and respond to back-office alerts in our departmental inbox. You will review and process account terminations promptly.

Knowledge of:

Call center best practices

Account types and industry operations in general.

Securities Trading

Inheritance Case processing

Skill in:

• Organizational and time‑management skills sufficient to prioritize workload, handle multiple tasks, and meet deadlines.
• Operating standard office equipment and using required software applications to produce correspondence, presentations, electronic communication and spreadsheets.
• Detail orientation to ensure quality standards are met without impairing workflow.
• Follow‑up to ensure resolution and completion of tasks.

Ability to:

• Provide a high level of customer service in a calm, courteous and professional manner.
• Establish and maintain effective working relationships at all levels of the organization.
• Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities in a fast‑paced work environment.
• Use effective oral and written communication skills sufficient to communicate and interact effectively with clients and home office.
• Constructively work under stress and pressure when faced with high workloads and deadlines.
• Work independently as well as collaboratively within a team environment.

Educational/Previous Experience Requirements

High School Diploma or equivalent and three (3) years’ experience in the financial services industry, preferably including related service experience.

Associates and/or Bachelor’s Degree Preferred but not required.

Licenses/Certifications

SIE required provided that an exemption or grandfathering cannot be applied.

Series 7 and 63 licensing required.

Education

High School (HS)

Work Experience

General Experience - 13 months to 3 years

Certifications

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

Hybrid

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.

Benefits

• 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.

#LI-JM1

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 New York Stock Exchange under the symbol RJF.

Thanks for your interest in working with Raymond James.

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.