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Job Description

Job Summary

At Kelly Wealth Management Group, we’ve learned that helping people is the number one thing we do well. We are seeking a like-minded individual who is client-focused and a team player. The ideal candidate will also be empathetic, a lifelong learner, and an expert problem solver.

Additionally, the Registered Client Associate role helps to provide high quality administrative support to advisors, clients, and other branch team members. Must haves include effective communication skills as well as time and task management.

Essential Duties and Responsibilities

• Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes, scheduling of meetings with prospective and existing clients

• Onboards new clients, opens new client accounts and researches client and security information using internal databases and other technologies

• Ensures key client information and documentation is current with firm and industry requirements, rules and regulations

• Processes and monitors the transfer of assets to ensure all assets and cost basis were successfully received

• Prepares financial reports, spreadsheets and other materials for client meetings

• Inputs orders and rebalances portfolios on behalf of the Financial Advisors

• Creates and maintains records and files utilizing Client Relationship Management (CRM) software

• Assists Financial Advisors with marketing efforts including seminars and other client-facing events

• Actively engages in available training/cross-training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures

• Performs other duties and responsibilities as assigned

Knowledge, Skills, and Abilities

Knowledge of

• Company’s working structure, policies, mission, and strategies.

• Managed account platforms.

• General office practices, procedures, and methods

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

• Financial markets, products and industry regulations

• Trading terminology

Skill in

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

• Microsoft Office Suite

• Effective communication (in-person, virtual, phone, and mail)

Ability to

• Operate standard office equipment and using required software applications, such as Excel, to produce correspondence, reports, electronic communication, spreadsheets, and databases

• Analyze and research account information

• Organize, manage, and track multiple, detailed tasks and assignments with. frequently changing priorities and deadlines in a fast-paced, task-oriented work environment

• Identify time sensitive items and assess competing priorities

• Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions, or concerns

• Handle stressful situations and provide a high level of customer service in a calm and professional manner

• Analyze problems and establish solutions in a fast-paced environment

• Use mathematics sufficient to process account and transaction information

• Use appropriate interpersonal styles and communicate effectively

• Work both independently and as part of a cohesive team

• Provide a high level of customer service

Licenses/Certifications

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

• Series 7 required.

• Series 63, 65 and/or 66 as required by state.

Kelly Wealth Management Group 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.

Education

High School (HS) (Required)

Work Experience

General Experience - 7 to 12 months

Certifications

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

Travel

Less than 25%

Workstyle

Resident

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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