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Senior Registered Client Service Associate

Raymond James

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Location:
United States , Winter Haven

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Category:
Finance

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Contract Type:
Not provided

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Salary:

Not provided
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Job Description:

Supports Financial advisors and their prospective and existing clients and other branch staff team members. Demonstrates 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.

Job Responsibility:

  • 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

Requirements:

  • 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
  • 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
  • Knowledge of: Company’s working structure, policies, mission, and strategies
  • Managed account platforms
  • General office practices, procedures, and methods
  • Advanced 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

Additional Information:

Job Posted:
March 10, 2026

Employment Type:
Fulltime
Work Type:
On-site work
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