Registered Client Service Associate - Locust Valley, NY

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 to join our growing team. This essential role provides high-quality, high-touch critical administrative support to Financial Advisors, their prospective and existing clients, and other branch staff members.

The ideal candidate will have effective communication skills across multiple platforms (phone, email, in-person, and virtual) and 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.

Responsibilities

• Serve as the first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes, and scheduling meetings for prospective and existing clients via phone, in-person, virtually, and mailings.
• Work independently and within a dynamic team environment to support Financial Advisors and the branch office.
• Onboard new clients, open new client accounts, and research client and security information using internal databases and other technologies.
• Ensure key client information and documentation are current with firm and industry requirements, rules, and regulations.
• Process and monitor the transfer of assets to ensure all assets and cost basis were successfully received.
• Monitor available cash awaiting investment, including running weekly cash and cash equivalent reports and contacting clients with investment opportunities to maximize returns.
• Review, assess, and respond to all corporate action items and client account alerts.
• Prepare financial reports, spreadsheets, and other materials for client meetings.
• Input orders and rebalance portfolios on behalf of Financial Advisors.
• Create and maintain records and files using Client Relationship Management (CRM) software.
• Assist Financial Advisors with marketing efforts, including seminars and other client-facing events.
• Actively engage in available training, cross-training, and educational and/or professional development opportunities to remain current on firm and industry policies and procedures.
• Perform other duties and responsibilities as assigned.

Skills & Qualifications

• Knowledge of the company’s working structure, policies, mission, and strategies.
• Experience with 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.
• Client Relationship Management (CRM) software (or similar contact management software).
• Goal planning software.
• Excel, including developing spreadsheets as needed for ongoing reporting.
• Effective communication across multiple client interactive platforms (in-person, virtual, phone, and mail).
• 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.
• 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.
• Communicate effectively, both orally and in writing, with all organizational levels, in person and virtually.
• Work independently and as part of a cohesive team.
• Provide a high level of customer service.

Education / Previous Experience

• High School Diploma or equivalent; one (1) or more years of 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.

Additional Role Details

• Salary Range: $45,000.00-$65,000.00
• Travel: Less than 25%
• Workstyle: Resident

Guiding Behaviors

At Raymond James, 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.

Associates at all levels are expected 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