Client Service Associate I

Company: Raymond James 
Location: Southfield, Michigan

• Salary: Not Specified
• Category: Banking / Mortgage
• Date Posted: 02/09/2012
• Region: Michigan-Detroit
• Travel Required: Not Specified
• Security Clearance: No
• Work Type: Any

Job Description

Title: Client Service Associate I
Location: US-MI-Southfield
Other Locations:
Job Summary:
Under limited supervision, uses detailed knowledge and skills obtained through on-the-job training to administer the establishment and maintenance of new and existing client accounts. Also, facilitates problem resolution, document processing, and branch support. Follows established procedures to perform routine tasks and receives general guidance and direction to perform a variety of non-routine tasks with limited decision making responsibility.

Essential Duties and Responsibilities:
* The shift for this position is 11am to 8pm M-F
* Establish new client accounts utilizing industry registration requirements.
* Review, update, maintain and service accounts by enforcing the documentation of client accounts to meet industry policies and regulations, and protect the firm, FAs and clients.
* Monitor and resolve issues related to regulations on client accounts to identify potential problems or status of high risk accounts and situations.
* Answer operational and compliance questions related to account registrations.
* Monitor reports related to account opening and maintenance issues and maintain accurate record that comply with meeting exchange and firm requirements; notifying FAs on actions concerning client accounts.
* Prepare industry-required mailings to clients.
* Serve as a liaison between branches and other home-office personnel in a call center environment.
* Provide support and direction regarding required operational processes, policies and timeframes.
* Evaluate client documentation received from branch/FA and/or client for processing and approval utilizing the document imaging and workflow systems.
* Educate FAs and home-office personnel on the use and maintenance of systems required for opening, maintaining, and documenting client accounts.
* Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:
Knowledge of:
* Company policies, procedures, practices, products and services.
* Principles, practices, and procedures of general office and departmental concepts.
* Knowledge of MS Office sufficient to create letters, documents and send emails.
Skill in:
* Operating standard office equipment and using required software applications to produce correspondence, reports, and electronic communications.
* Interpersonal and communication skills sufficient to interact with associates at all levels of the organizational as well as FAs, both orally and in writing.
* Organization skills and attention to detail sufficient to handle high volumes of phone calls requiring quick analytical and supportive responses.
Ability to:
* Organize and prioritize workload to meet deadlines.
* Use independent judgment on a variety of issues.
* Learn and interpret department policies, procedures and requirements.
* Constructively work under stress and pressure when faced with high volume and deadlines.
* Provide courteous, timely service when addressing client issues and transactions.
* Use good judgment in responding to client issues.
* Demonstrate efficiency and flexibility in performing detailed transactional tasks in a fast-paced work environment with frequent interruptions and changing priorities.
* Participate in on the job training and other learning activities to develop knowledge and understanding of FINRA, state and other regulatory agency rules and regulations regarding client accounts.
Educational/Previous Experience Requirements:
High School Degree or equivalent with at least one (1) year of customer service experience.
~or~
An equivalent combination of education, experience and/or training approved by Human Resources.

Licenses/Certifications:
None Required.