Registered Client Service Associate (Scottsdale, AZ)

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. 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.

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; Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office; 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; Processes and monitors the transfer of assets to ensure all assets and cost basis were successfully received; Monitors available cash awaiting investment, including running weekly cash and cash equivalent reports and contacting clients with investment opportunities to maximize returns; Reviews, assesses and responds to all corporate action items and client account alerts; Prepares financial reports, spreadsheets and other materials for client meetings; Inputs orders and rebalances portfolios on behalf of the Financial Advisors; Creates and maintains records and files utilizing Client Relationship Management (CRM) software; Assists Financial Advisors with marketing efforts including seminars 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; Performs other duties and responsibilities as assigned

Requirements

High School Diploma or equivalent; General Experience - 7 to 12 months; SIE required provided that an exemption or grandfathering cannot be applied; Series 7 required; Series 63, 65 and/or 66 as required by state; Knowledge of company’s working structure, policies, mission, and strategies; Managed account platforms; General office practices, procedures, and methods; Investment concepts, practices and procedures used in the securities industry; Financial markets, products and industry regulations; Trading terminology; 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 use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases; Ability to analyze and research account information; 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; Ability to identify time sensitive items and assess competing priorities; Ability to take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns; Ability to handle stressful situations and provide a high level of customer service in a calm and professional manner; Ability to analyze problems and establish solutions in a fast paced environment; Ability to use mathematics sufficient to process account and transaction information; Ability to use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels, in person and virtually; Ability to work both independently and as part of a cohesive team; Ability to provide a high level of customer service

Nice to have

one (1) or more years securities industry or related work experience preferred

Benefits

additional compensation (cash or equity); discretionary bonuses; commissions; 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