Sr. Associate - New Accounts: Legal Documents Team

Raymond James; Saint Petersburg (FL); Hybrid; USD 60,000 - 90,000; Full time

Job summary

Raymond James is seeking a Sr. Associate in the Legal Documents COE within the New Accounts department. The role entails investigating complex client cases, ensuring regulatory compliance, and supporting training and document management in a hybrid work environment.

You will handle high-visibility inquiries, communicate findings to leaders, and contribute to continuous process improvements while maintaining client-first service standards.

Qualifications

• Investigate and resolve complex client cases and inquiries within authorized scope.
• Apply procedures and regulatory standards to minimize risk and protect clients.
• Support training and onboarding to improve team effectiveness.

Responsibilities

• Investigate and resolve complex client cases, account issues, and non-routine inquiries with root-cause analysis.
• Interpret New Accounts procedures and regulatory standards, escalating risks as needed.
• Assist callers by email/mail with requests, and escalate to senior colleagues when appropriate.
• Support knowledge sharing, training, onboarding, and process changes.
• Produce and maintain Microsoft documents, databases, and departmental systems.
• Handle client service activities for cases outside normal scope.

Skills

Client service

Regulatory awareness

Risk assessment

Clear verbal communication

Escalation procedures

Adaptability to process changes

Education

High School (HS) - Completed

Tools

Microsoft Word/Docs

Databases

Client management systems

Job description

Job Description Summary

Raymond James’ work environment is designed to reinforce our values-based culture while supporting the competitiveness, profitability, and long-term growth of our firm. This role is a hybrid workstyle, with the associate expected to work from a Raymond James office location at least three days per week, including either Monday or Friday.

Job Description Summary

Raymond James’ work environment is designed to reinforce our values-based culture while supporting the competitiveness, profitability, and long-term growth of our firm. This role is a hybrid workstyle, with the associate expected to work from a Raymond James office location at least three days per week, including either Monday or Friday.

This Sr. Associate will be part of the Legal Documents COE within the New Accounts dept.

Job Description

• Investigate and resolve complex client cases, account issues, operational exceptions, and non-routine inquiries by determining root causes, assessing risks and impacts, and analyzing relevant information. Present findings and actionable recommendations to leaders and stakeholders to support informed decisions and continuous improvement.
• Apply sound judgment to interpret New Accounts procedures, documentation requirements, and applicable regulatory or compliance standards. Recognize operational, client, financial, regulatory, and reputational risks and escalates matters through the appropriate channels when needed.
• Assist callers or those making varied inquiries by email or mail with any requests for information, resolving complex inquiries within authority and escalating matters involving heightened risk. Initiate contact internally and externally to convey requests, provide instructions, or obtain information on behalf of a senior colleague.
• Support team effectiveness by sharing knowledge, providing peer guidance, and assisting with training, onboarding, cross-training, or reinforcement of process changes, as business needs require.
• Produce, update, and provide best practice support on Microsoft documents, databases, and other departmental systems.
• Carry out a range of client service activities, including handling client cases and inquiries that are more complex or outside the norm.

Skills

With guidance but not constant supervision, works at an intermediate level to:

• Achieve thoroughness and accuracy when accomplishing tasks.
• Receive, monitor, and support all assigned customers.
• Understand and effectively operate client management systems.
• Express ideas, request actions, and formulate plans and policies through clear and effective verbal communication.
• Recognize when independent action is appropriate and when consultation or escalation is required.
• Adapt to changes in systems, procedures, account types, workflows, and organizational priorities.

Education

High School (HS) - Completed (Required)

Work Experience

General Experience - 7 to 12 months

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. 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.

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.