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 Bachelors Degree Preferred but not required.

Licenses/Certifications

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

• Series 7 and 63 licensing required.