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Raymond James · 1 day ago

Senior Registered Client Service Associate- Coral Gables, FL

Coral Gables, FL

Full-time

Onsite

Senior Level

5+ years exp

Raymond James is a well-established firm in the Financial Services industry, seeking a dynamic Registered Client Service Associate to support Financial Advisors and their clients. The role involves providing high-quality administrative support, managing client interactions, and ensuring adherence to compliance requirements in a fast-paced environment.

BankingFinancial ServicesInformation TechnologyInsuranceWealth Management

Growth Opportunities

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

Helps manage and standardize best practices for various activities: new client on-boarding, large client liquidity events, private placement investment monitoring

Trading of both discretionary and non-discretionary products, model maintenance and performance tracking

Servicing of alternative investments and foreign accounts, including setup and maintenance

May participate in live meetings with the Financial Advisor and their respective client(s)

Manages budgeting and tracking of Financial Advisor expenses

Creates reports to build more practice efficiencies, identify key practice performance metrics, and helps implement processes to further enhance the team’s performance

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

Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office

May solicit order from clients at the direction of the Financial Advisor

Receives unsolicited orders from the clients; may enter unsolicited trades at the direction of the Financial Advisor

Assists Financial Advisors with marketing efforts including seminars, mail 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

Acts as mentor and resource to junior team members; manages team workflow and works towards creating greater team operational efficiencies

Performs other duties and responsibilities as assigned

Qualification

Client Relationship ManagementFinancial markets knowledgeSecurities industry regulationsBilingual - SpanishExcel proficiencyAdvanced investment conceptsManaged account platformsCustomer serviceEffective communicationOrganizational skillsProblem-solvingTeam collaboration

Required

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

Bilingual requirement- Spanish (Advanced)

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

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

Client Relationship Management (CRM) software, or similar contact management software

Goal planning software

Excel, including developing spreadsheets as needed and for ongoing reporting

Operate standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases

Analyze and research account information

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

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