Registered Client Service Associate (Houston, TX)

Job Description Summary: 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. 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; 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 - 13 months to 3 years; SIE required provided that an exemption or grandfathering cannot be applied; Series 7 required; Series 63, 65 and/or 66 as required by state; Effective communication skills across multiple platforms (phone, email, in-person, virtual); 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; Knowledge of company’s working structure, policies, mission, and strategies; Knowledge of managed account platforms; Knowledge of general office practices, procedures, and methods; Knowledge of investment concepts, practices and procedures used in the securities industry; Knowledge of financial markets, products and industry regulations; Knowledge of trading terminology; Client Relationship Management (CRM) software or similar contact management software; Knowledge of goal planning software; Excel, including developing spreadsheets as needed and for ongoing reporting; Ability to operate standard office equipment and use required software applications; Ability to analyze and research account information; Ability to identify time sensitive items and assess competing priorities; Ability to take initiative and proactively follow up on submitted items; Ability to handle stressful situations and provide a high level of customer service; 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 with all organizational levels; Ability to work independently and as part of a cohesive team; Ability to provide a high level of customer service; Less than 25% travel

Nice to have

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