Service Associate - Series 7 & 63 Required

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.

What does a typical day look like for a Service Associate?

• 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.