![Raymond James Financial](https://media.trabajo.org/img/noimg.jpg)
Registered Client Service Associate
hace 2 semanas
Registered Client Service Associate (San Jose, CA)
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2301531
Description
Job Summary
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, inperson, 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 clientfacing events.
- Actively engages in available training/crosstraining 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
- Company's 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 (inperson, virtual, phone and mail)
Ability to
- Analyze and research account information.
- Organize, manage, and track multiple, detailed tasks and assignments with. frequently changing priorities and deadlines in a fastpaced, taskoriented 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.
Raymond James Guiding Behaviors
- At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of clientfirst, integrity, independence and a conservative, longterm view.
We expect our associates at all levels 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
When associates bring their best authentic self, our organization, clients and communities thrive, it is part of our part of our people-first culture.
The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
Job Wealth management
Primary Location US-CA-San
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