Service Associate, 7 & 63 Required

Job Description Summary

Job Description

Under general supervision, uses specialized knowledge and skills obtained through experience and/or formal training to assist Home Office associates and their direct family members in researching and resolving escalated issues. Recommends solutions to moderately complex problems. Extensive contact with clients via phone.

Essential Duties and Responsibilities

• Acts as a liaison to Home Office associates and their direct family members to research and resolve escalated issues regarding clients’ accounts communicated via phone, correspondence, email and online inquiries; follows the issue all the way through resolution and final communications.

• Determines best method to resolve issues to ensure client satisfaction and adherence to company policies.

• Follows up, either verbally or in writing, to ensure client satisfaction.

• Responds to incoming inquiries related to qualifications, instructions or paperwork requirements for various programs.

• Addresses inquiries pertaining to operational policies and procedures and relay policies that govern the procedures handled at the retail level.

• Communicates and coordinates with Home Office departments to resolve issues related to client accounts.

• Reviews, maintains and documents weekly reports and the status of assigned tasks.

• Executes trades based on verbal instructions.

• Performs other duties and responsibilities as assigned.

Knowledge of

• Basic office practices, procedures and methods.

• Account types and industry operations in general.

• Back office systems.

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.

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.

Education

High School (HS)

Work Experience

General Experience - 3 to 6 years

Certifications

s63 - Uniform Securities Agent State Law Examination - Financial Industry Regulatory Authority (FINRA), s7 - General Securities Representative Examination - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Travel

Less than 25%

Workstyle

Remote

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave.  Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

 

 

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 associates at all levels to:
•  Grow professionally and inspire others to do the same
•  Work with and through others to achieve desired outcomes
•  Make prompt, pragmatic choices and act with the client in mind
•  Take ownership and hold themselves and others accountable for delivering results that matter
•  Contribute to the continuous evolution of the firm

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates.  When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.