Registered Client Service Associate

7 days ago


Charlotte, North Carolina, United States Raymond James Full time
Job Summary

Celebrating over 60 years of excellence in the Financial Services industry, Raymond James is seeking a detail-oriented and creative problem solver to join our team as a Registered Client Service Associate. This role provides high-quality administrative support to Financial Advisors, clients, and branch staff, requiring effective communication skills and the ability to manage multiple tasks with changing priorities.

Key Responsibilities
  • Serve as the first point of contact for daily interactions, including inquiries, quotes, and meeting scheduling, with prospective and existing clients.
  • Provide crucial support to Financial Advisors and branch office, working independently and as part of a dynamic team.
  • Onboard new clients, open new client accounts, and research client and security information using internal databases and technologies.
  • Ensure key client information and documentation are current with firm and industry requirements.
  • Process and monitor asset transfers, run cash and cash equivalent reports, and contact clients with investment opportunities.
  • Review, assess, and 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 Financial Advisors.
  • Maintain records and files using Client Relationship Management (CRM) software.
  • Assist Financial Advisors with marketing efforts, including seminars and client-facing events.
Requirements
  • High School Diploma or equivalent and one or more years of securities industry or related work experience preferred.
  • OR equivalent combination of experience, education, and/or training as approved by Human Resources.
  • SIE required, provided that an exemption or grandfathering cannot be applied.
  • Series 7 required.
  • Series 63, 65, and/or 66 as required by state.
Guiding Behaviors

At Raymond James, our associates use five guiding behaviors to deliver on the firm's core values: client-first, integrity, independence, and a conservative, long-term view. We expect our associates 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.

At Raymond James, we honor, value, and respect the uniqueness, experiences, and backgrounds of all our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.



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