Job Description

Wiemann Wealth is a private wealth practice that provides professional, empathetic, and extraordinary service to its clients. We work as a collaborative team to understand our clients’ values, goals, and concerns. As we grow, we are seeking a Registered Client Associate who aligns with our values.

The Registered Client Service Associate is a securities-licensed service and operations role that supports financial advisors and client service and account operations to ensure efficiency of the branch office. The ideal candidate has financial services industry experience and is proficient in front- and back-office operations. Additionally, they will be team-oriented and have a strong affinity for organization and process in a professional and discreet environment. Because this role performs licensed securities-related functions, the incumbent must hold securities licenses (Series 7 and 66) or obtain in 6 months of hire as a condition of continued employment.

Essential Duties and Responsibilities

• Daily interactions with clients, including basic inquiries, account information, and scheduling of meetings, on the phone, in-person, and virtually.

• Provide professional service to clients, prospects, and vendors including answering incoming calls, greeting visitors, in a warm and friendly manner.
• Work both independently and within a team environment to provide crucial support to the financial advisors and branch office.

• Open new client accounts, process money movement, complete account maintenance requests, and research information as needed.
• Support new account onboarding and maintenance processes that require following up with customers to gather, confirm, risk assessment information, suitability details and investment profile data.

• Take and document client trade instructions and execute trades and related servicing requests accurately and timely, in accordance with firm policies, supervisory procedures, regulatory standards, and licensure requirements.
• Create and maintain records of client communications utilizing Client Relationship Management (CRM) software.

• Research and resolve complex problems relating to client accounts and inquiries.
• Respond to client questions involving account activity, servicing needs, and investment-related administrative follow-up within the scope of licensure and firm policy.
• Escalate matters involving supervisory review to the appropriate financial advisor or principal.

• Support advisors by handling time-sensitive licensed service requests (e.g. trades) for clients during periods when advisors are unavailable.

Knowledge, Skills, and Abilities

Knowledge of

• Company policies and procedures and industry rules and regulations.

• Investment concepts, practices and procedures used in the securities industry.

• Financial markets and products.

• Technology, both hardware and software.
• Suitability standards, client profile documentation requirements, and risk assessment processes applicable to brokerage and advisory accounts.

Skill in

• Client Relationship Management (CRM) software, or similar contact management software.

• Microsoft Office 365 applications

• Effective communication across multiple client platforms (in-person, virtual, phone and mail)
• Project management
• Organization
• Attention to detail
• Time management
• Detail-orientation and ability to proofread one’s work.
• Conducting professional, compliant client conversations involving account servicing, trade requests, and client profile information.
• Gathering and documenting sensitive financial and investment-related information with accuracy and discretion.

Ability to

• Operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

• Handle conversations with discretion and lead others in providing a high level of customer service in a calm and professional manner, constantly projecting a service attitude.

• Display professional and pleasant appearance and demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.

• Employ good analytical skills to be able to research account information and resolve problems.
• Proficiency in Microsoft Suite, AI, Teams and a general understanding of cybersecurity protocols.
• Proficiency in Client Relationship Management software (CRM).

• Utilize good interpersonal and verbal and written communication skills to deal with clients, financial advisors, support staff and home office personnel.
• Effectively organize, manage, track and complete multiple detailed tasks and assignments with frequently changing priorities and deadlines.
• Manage a high volume of incoming client requests requiring timely response, especially for clients seeking assistance in real time while advisors are unavailable.
• Distinguish between licensed servicing functions, administrative tasks, and matters requiring principal review.

Education

• Bachelor’s degree from four-year college or university

Licenses/Certifications

• Active Series 7 and Series 66 licenses strongly preferred at hire. If not licensed, the incumbent must obtain and maintain Series 7 and Series 66 within 6 months as a condition of continued employment,
• Securities licensing is an essential requirement of this role because the position includes discussing client investment profile information, suitability-related information, client risk characteristics, and taking trade instructions from clients.

Work Experience

• General Experience - 3 to 6 years. Direct client service experience, 1 year.
• Prior experience in securities-licensed client service, advisory support, brokerage operations, or registered sales assistant/client associate work preferred.

Travel

• None

Work Style

• A resident of Los Alamos County is strongly preferred.

Salary commensurate with education and experience. The total compensation for this role includes base salary, and components such as 401k, profit sharing, and performance and milestone-based bonuses. This position is eligible for a benefits package that may include medical, life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; and paid time off (including vacation, holidays, and sick leave). Annual guaranteed time off December 24 through January 1.

Wiemann Wealth and its employees are independent contractors with respect to Raymond James, not employees of Raymond James. The term “Raymond James” includes but is not limited to Raymond James Financial Services, Inc. (“RJFS”) and Raymond James Financial Services Advisors. Inc. (“RJFSA”) as affiliates.

PLEASE NOTE: The benefits link and benefits description below do not apply to this job posting because the hiring entity is a RJFS independent branch and all RJFS associates at this branch are independent contractors with respect to Raymond JamesIf you are offered a position by this RJFS branch, employment and benefits will solely be offered by the branch and not by Raymond James.

Education

Bachelor’s (Required)

Work Experience

General Experience - 3 to 6 years

Certifications

Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Travel

Less than 25%

Workstyle

Resident

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.

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