Raymond James · 1 day ago
Registered Client Service Associate (Beverly Hills, CA)
Beverly Hills, CA
Full-time
Onsite
Entry Level
$45K/yr - $90K/yr
1+ years expRaymond James is a prominent player in the Financial Services industry, celebrating over 60 years of service and excellence. They are seeking a dynamic Registered Client Service Associate to provide high-quality administrative support to Financial Advisors and clients, while managing various tasks in a fast-paced environment.
BankingFinancial ServicesInformation TechnologyInsuranceWealth Management
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
Qualification
Required
High School Diploma or equivalent
SIE required provided that an exemption or grandfathering cannot be applied
Series 7 required
Series 63, 65 and/or 66 as required by state
General Experience - 7 to 12 months
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
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
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
Client Relationship Management (CRM) software, or similar contact management software
Goal planning software
Excel, including developing spreadsheets as needed and for ongoing reporting
Operate standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases
Analyze and research account information
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
Preferred
one (1) or more years securities industry or related work experience preferred
an equivalent combination of experience, education, and/or training as approved by Human Resources
Company
Raymond James
Raymond James provides a range of investment banking services focused on the telecommunications and communications sectors.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
$1.5B2025-09-09Post Ipo Debt· $1.5B
1983-07-01IPO
Leadership Team
Paul Shoukry
Chief Financial Officer
James Sickling
COO - Fixed Income
Recent News
TradingView
2025-12-16
Company data provided by crunchbase