Registered Client Service Associate - Rockville, MD

Raymond James is a well-established company in the Financial Services industry, seeking a dynamic Registered Client Service Associate to join their team. This role provides essential administrative support to Financial Advisors and clients, requiring effective communication and organizational skills to manage multiple tasks in a fast-paced environment.

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
• 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 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
• Performs other duties and responsibilities as assigned

Skills

• High School Diploma or equivalent
• 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
• SIE required provided that an exemption or grandfathering cannot be applied
• Series 7 required
• Series 63, 65 and/or 66 as 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
• Ability to analyze and research account information
• Ability to handle stressful situations and provide a high level of customer service in a calm and professional manner
• Ability to work both independently and as part of a cohesive team
• General Experience - 13 months to 3 years

Company Overview