Service Associate - Series 7 & 63 Required

Raymond James Financial, Inc.; Saint Petersburg (FL); On-site; USD 42,000 - 64,000; Full time

Job summary

Raymond James Financial, Inc. is seeking a Service Associate to be the first point of contact for clients at Investment Central, a home office department.

You will handle inbound calls and emails, execute trades across asset types, and process client transactions while maintaining high service standards. You will collaborate with other departments, proactively communicate with clients, and ensure compliance with the Code of Business Conduct & Ethics.

Qualifications

• High School Diploma or equivalent with 3 years’ financial services experience.
• SIE required unless grandfathering applies.
• Series 7 and 63 licenses required.

Responsibilities

• Handle inbound calls and emails to assist clients with account updates and trades.
• Execute client-directed trades across mutual funds, fixed income and stocks.
• Process ACH transfers, wire transactions and journal requests.
• Collaborate with home office departments to resolve client issues.
• Monitor back-office alerts and review account terminations promptly.

Skills

Call center best practices

Account types

Securities trading

Inheritance case processing

Education

High School Diploma or equivalent

Associates or Bachelor's Degree preferred

Job description

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 inquires 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.