Registered Service Associate - 7 & 63 Required

Job Description

Job Summary

Under general supervision, Investor Transition Solutions, a specialized department at the Raymond James home office, is dedicated to providing exceptional service to Raymond James’ clients. Although we operate as a home office department, our approach mirrors that of most Raymond James branches. Your expertise in customer service, securities trading, and problem-solving will enable you to deliver superior service to our valued clients.  At Investor Transition Solutions, you will not have a sales goal rather we want you to focus on delivering a Service 1st client experience. Extensive contact with clients via phone.

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.
• Executes trades based on verbal instructions.
• Performs Mass Moves (entire book of business transfers) for Transitioning and Terminated Financial Advisors.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of

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

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 enough to communicate and interact effectively with Home Office associates and their direct family members.
• 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

Education/Previous Experience

• 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.

• OR ~

• An equivalent combination of experience, education, and/or training as approved by Human Resources.

Licenses/Certifications

• SIE required provided that an exemption or grandfathering cannot be applied.

• Series 7 and 63 licenses required. Must be licensed in All 50 States.

Education

High School (HS)

Work Experience

General Experience - 13 months to 3 years

Certifications

AG - Agent - Financial Industry Regulatory Authority (FINRA), GS (pre 5/77 - No Options) - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Travel

Less than 25%

Workstyle

Remote

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. 

We expect our associ