Raymond James
Senior Registered Client Service Associate- Ocala, FL
Raymond James, Ocala, Florida, United States, 34470
Senior Registered Client Service Associate – Ocala, FL
Job Overview
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.
Job Summary 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 for a high volume of daily interactions, including basic inquiries, providing quotes and scheduling of meetings, with prospective and existing clients via phone, in‑person, virtual, and mailings.
Helps manage and standardize best practices for new client onboarding, large client liquidity events, and private placement investment monitoring.
Traded both discretionary and non‑discretionary products, maintained modelling and performance tracking.
Serviced alternative investments and foreign accounts, including setup and maintenance.
Participated in live meetings with the Financial Advisor and their respective client(s).
Managed budgeting and tracking of Financial Advisor expenses.
Created reports to build practice efficiencies, identify key performance metrics, and helped implement processes to further enhance the team’s performance.
Onboarded new clients, opened new client accounts, and researched client and security information using internal databases and other technologies.
Ensured key client information and documentation was current with firm and industry requirements, rules and regulations.
Worked both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office.
Solicited orders from clients at the direction of the Financial Advisor.
Received unsolicited orders from clients; entered unsolicited trades at the direction of the Financial Advisor.
Assisted Financial Advisors with marketing efforts including seminars, mail and other client‑facing events.
Actively engaged in available training/cross‑training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures.
Acted as mentor and resource to junior team members; managed team workflow and worked towards creating greater team operational efficiencies.
Performed other duties and responsibilities as assigned.
Knowledge Of
The company’s working structure, policies, mission, and strategies.
Managed account platforms.
General office practices, procedures, and methods.
Advanced investment concepts, practices and procedures used in the securities industry.
Financial markets, products and industry regulations.
Trading terminology.
Skill In
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.
Analyze and research account information.
Organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast‑paced, task‑oriented work environment.
Identify time‑sensitive items and assess competing priorities.
Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns.
Handle stressful situations and provide a high level of customer service in a calm and professional manner.
Analyze problems and establish solutions in a fast‑paced environment.
Use mathematics sufficient to process account and transaction information.
Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels, in person and virtually.
Work both independently and as part of a cohesive team.
Provide a high level of customer service.
Education / Previous Experience
High School Diploma or equivalent and five (5) years of financial services industry service experience, or an equivalent combination of experience, education, and/or training as approved by Human Resources.
Licenses / Certifications
SIE required provided that an exemption or grandfathering cannot be applied.
Series 7 required.
Series 63, 65 and/or 66 as required by state.
Ability to obtain additional securities and advisory state registrations if required by state.
Education High School (HS) – Required
Work Experience General Experience – 7 to 12 months
Certifications f66 – Uniform Combined State Law Examination – FINRA, s7 – General Securities Representative Examination – FINRA, Securities Industry Essentials Exam (SIE) – FINRA
Travel Less than 25%
Workstyle Resident
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.
The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
#J-18808-Ljbffr
Job Summary 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 for a high volume of daily interactions, including basic inquiries, providing quotes and scheduling of meetings, with prospective and existing clients via phone, in‑person, virtual, and mailings.
Helps manage and standardize best practices for new client onboarding, large client liquidity events, and private placement investment monitoring.
Traded both discretionary and non‑discretionary products, maintained modelling and performance tracking.
Serviced alternative investments and foreign accounts, including setup and maintenance.
Participated in live meetings with the Financial Advisor and their respective client(s).
Managed budgeting and tracking of Financial Advisor expenses.
Created reports to build practice efficiencies, identify key performance metrics, and helped implement processes to further enhance the team’s performance.
Onboarded new clients, opened new client accounts, and researched client and security information using internal databases and other technologies.
Ensured key client information and documentation was current with firm and industry requirements, rules and regulations.
Worked both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office.
Solicited orders from clients at the direction of the Financial Advisor.
Received unsolicited orders from clients; entered unsolicited trades at the direction of the Financial Advisor.
Assisted Financial Advisors with marketing efforts including seminars, mail and other client‑facing events.
Actively engaged in available training/cross‑training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures.
Acted as mentor and resource to junior team members; managed team workflow and worked towards creating greater team operational efficiencies.
Performed other duties and responsibilities as assigned.
Knowledge Of
The company’s working structure, policies, mission, and strategies.
Managed account platforms.
General office practices, procedures, and methods.
Advanced investment concepts, practices and procedures used in the securities industry.
Financial markets, products and industry regulations.
Trading terminology.
Skill In
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.
Analyze and research account information.
Organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast‑paced, task‑oriented work environment.
Identify time‑sensitive items and assess competing priorities.
Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns.
Handle stressful situations and provide a high level of customer service in a calm and professional manner.
Analyze problems and establish solutions in a fast‑paced environment.
Use mathematics sufficient to process account and transaction information.
Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels, in person and virtually.
Work both independently and as part of a cohesive team.
Provide a high level of customer service.
Education / Previous Experience
High School Diploma or equivalent and five (5) years of financial services industry service experience, or an equivalent combination of experience, education, and/or training as approved by Human Resources.
Licenses / Certifications
SIE required provided that an exemption or grandfathering cannot be applied.
Series 7 required.
Series 63, 65 and/or 66 as required by state.
Ability to obtain additional securities and advisory state registrations if required by state.
Education High School (HS) – Required
Work Experience General Experience – 7 to 12 months
Certifications f66 – Uniform Combined State Law Examination – FINRA, s7 – General Securities Representative Examination – FINRA, Securities Industry Essentials Exam (SIE) – FINRA
Travel Less than 25%
Workstyle Resident
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.
The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
#J-18808-Ljbffr