Service Associate - Series 7 & 63 Required

Investment Central Service Associate

Investment Central, a specialized department at the Raymond James home office, is dedicated to providing exceptional service to Raymond James' clients. As a licensed Service Associate, you will play a crucial role in our branch, serving as the initial point of contact for our clients. Your expertise in customer service, securities trading, and problem-solving will enable you to deliver superior service to our valued clients. At Investment Central, you will not have a sales goal rather we want you to focus on delivering a Service 1st client experience.

Essential Duties and Responsibilities

• Service 1st Client Experience: Address account-level issues through inbound phone calls, ensuring a positive client experience.
• Provide a positive client experience to clients who contact Investment Central through inbound and outbound phone calls and electronic communications.
• Collaboration: Work closely with other home office departments to resolve client account issues.
• Proactive Client Communication: Reach out to clients proactively to address important matters related to their accounts and to follow up on other items.
• Trade Execution: Execute client-directed trades across various asset types, including mutual funds, fixed income, and stocks.
• Transaction Processing: Regularly handle client-directed transactions such as ACH transfers, wire transactions, and journal requests.
• Account Variety: Manage a diverse range of accounts, including trust accounts, estate accounts, and entity accounts.
• Code of Business Conduct & Ethics: Uphold a high level of integrity and compliance with Raymond James' Code of Business & Ethics.

Typical Day

• You will receive inbound customer inquires through our call center and through email to assist clients on requests ranging from basic account updates to placing complicated trades to withdrawal requests.
• You will be assigned additional tasks requiring you to contact clients to address items such as rejected document submissions, documents due requests, AML inquiries, etc.
• You will help monitor and respond to back-office alerts in our departmental inbox.
• You will review and process account terminations promptly.

Knowledge of

• Call center best practices
• Account types and industry operations in general.
• Securities Trading
• Inheritance Case processing

Skill in

• Organizational and time management skills sufficient to prioritize workload, handle multiple tasks, and meet deadlines.
• Operating standard office equipment and using required software applications to produce correspondence, presentations, electronic communication and spreadsheets.
• Detail orientation to ensure quality standards are met without impairing workflow.
• Follow-up to ensure resolution and completion of tasks.

Ability to

• Provide a high level of customer service in a calm, courteous and professional manner.
• Establish and maintain effective working relationships at all levels of the organization.
• Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.
• Use effective oral and written communication skills sufficient to communicate and interact effectively with clients and home office.
• Constructively work under stress and pressure when faced with high workloads and deadlines.
• Work independently as well as collaboratively within a team environment.

Educational/Previous Experience Requirements

• High School Diploma or equivalent and three (3) years' experience in the financial services industry, preferably including related service experience.
• Associates and/or Bachelor's Degree Preferred but not required.

Licenses/Certifications

• SIE required provided that an exemption or grandfathering cannot be applied.
• Series 7 and 63 licensing required.

Workstyle

Hybrid