Registered Client Service Associate-Walnut Creek, CA

2 weeks ago

Walnut Creek, United States Raymond James Financial Services Full time

Description

Job Summary

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. The ideal candidate will have 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. Come grow with us and see where a career at Raymond James could take you

Essential Duties and 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.


Qualifications

Knowledge, Skills, and Abilities

Knowledge of

  • Companys 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.


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 using 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.


Educational/Previous Experience Requirements

Education/Previous Experience

  • High School Diploma or equivalent and one (1) or more years securities industry or related work experience preferred.

  • 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.


Job: Administrative & Support Services

Primary Location: US-CA-Walnut Creek-Walnut Creek

Organization Western

Schedule Full-time

Job Shift Day Job

Travel No

Req ID: 2402425

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