Raymond James
Registered Client Service Associate - Glastonbury, CT
Raymond James, Glastonbury, Connecticut, us, 06033
Registered Client Service Associate – Glastonbury, CT
Celebrating more than 60 years of history, Raymond James seeks a dynamic Registered Client Service Associate who is motivated, detail‑oriented, and a creative problem solver. This role provides high‑quality, high‑touch administrative support to Financial Advisors and clients, helping to accomplish a range of critical tasks in a fast‑paced, task‑oriented environment.
Responsibilities
Serve as first point of contact for high‑volume daily client interactions via phone, in‑person, virtual, and mail.
Work independently and as part of a team to support advisors and the branch office.
Onboard new clients, open accounts, and research client and security information using internal databases and technology.
Maintain up‑to‑date client information and documentation in compliance with firm and industry rules.
Process and monitor asset transfers, ensuring successful receipt and cost‑basis accuracy.
Track available cash, run weekly cash and cash‑equivalent reports, and identify investment opportunities.
Respond to corporate action items and client account alerts.
Prepare financial reports, spreadsheets, and materials for client meetings.
Input orders and rebalance portfolios on behalf of advisors.
Create and maintain records using Client Relationship Management (CRM) software.
Assist with marketing efforts, including seminars and client events.
Engage in training, cross‑training, and professional development to stay current on firm and industry policies.
Perform additional duties as assigned.
Skills
Knowledge of company structure, policies, and strategies.
Experience with managed account platforms and general office practices.
Understanding of investment concepts, securities industry practices, and regulatory environment.
Proficiency in trading terminology and financial markets.
Experience with CRM software or similar contact management tools.
Proficiency with Excel, including spreadsheet development and reporting.
Effective communication across multiple client channels.
Ability to operate standard office equipment and software applications.
Strong analytical and research skills for account information.
Excellent organizational skills for tracking multiple tasks with changing priorities.
Proactive follow‑up and problem‑solving in a fast‑paced environment.
High level of customer service and professionalism.
Capacity to work independently and collaboratively.
Education & Previous Experience
High School Diploma or equivalent and one (1) or more years of securities industry or related work experience preferred, or an equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses & Certifications
Securities Industry Essentials (SIE) exam required unless exempt.
Series 7 required.
Series 63, 65, and/or 66 as required by state.
Additional Details Work Experience: General Experience – 13 months to 3 years.
Certifications: SIE, Series 7, Series 63 (Uniform Securities Agent State Law Examination) – Financial Industry Regulatory Authority (FINRA).
Travel: Less than 25%.
Workstyle: Resident.
At Raymond James, associates use guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver client‑first, integrity‑based, long‑term value. The firm is an equal‑opportunity employer and honors the diversity of its associates.
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Responsibilities
Serve as first point of contact for high‑volume daily client interactions via phone, in‑person, virtual, and mail.
Work independently and as part of a team to support advisors and the branch office.
Onboard new clients, open accounts, and research client and security information using internal databases and technology.
Maintain up‑to‑date client information and documentation in compliance with firm and industry rules.
Process and monitor asset transfers, ensuring successful receipt and cost‑basis accuracy.
Track available cash, run weekly cash and cash‑equivalent reports, and identify investment opportunities.
Respond to corporate action items and client account alerts.
Prepare financial reports, spreadsheets, and materials for client meetings.
Input orders and rebalance portfolios on behalf of advisors.
Create and maintain records using Client Relationship Management (CRM) software.
Assist with marketing efforts, including seminars and client events.
Engage in training, cross‑training, and professional development to stay current on firm and industry policies.
Perform additional duties as assigned.
Skills
Knowledge of company structure, policies, and strategies.
Experience with managed account platforms and general office practices.
Understanding of investment concepts, securities industry practices, and regulatory environment.
Proficiency in trading terminology and financial markets.
Experience with CRM software or similar contact management tools.
Proficiency with Excel, including spreadsheet development and reporting.
Effective communication across multiple client channels.
Ability to operate standard office equipment and software applications.
Strong analytical and research skills for account information.
Excellent organizational skills for tracking multiple tasks with changing priorities.
Proactive follow‑up and problem‑solving in a fast‑paced environment.
High level of customer service and professionalism.
Capacity to work independently and collaboratively.
Education & Previous Experience
High School Diploma or equivalent and one (1) or more years of securities industry or related work experience preferred, or an equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses & Certifications
Securities Industry Essentials (SIE) exam required unless exempt.
Series 7 required.
Series 63, 65, and/or 66 as required by state.
Additional Details Work Experience: General Experience – 13 months to 3 years.
Certifications: SIE, Series 7, Series 63 (Uniform Securities Agent State Law Examination) – Financial Industry Regulatory Authority (FINRA).
Travel: Less than 25%.
Workstyle: Resident.
At Raymond James, associates use guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver client‑first, integrity‑based, long‑term value. The firm is an equal‑opportunity employer and honors the diversity of its associates.
#J-18808-Ljbffr