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Raymond James Financial, Inc. Transfer Associate (2nd Shift) in Southfield, Michigan

About Us:

Founded in 1962, Raymond James Financial, Inc. is a Fortune 500 diversified holding company providing financial services to individuals, corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset management. Headquartered in Florida, Raymond James Financial has approximately 7,500 financial advisors in 3,000 locations throughout the United States, Canada and overseas. With 119 consecutive quarters of growth and Service 1 st culture, Raymond James Financial aims to be the premier alternative to Wall Street.


Under general supervision, uses developed skills obtained through experience and training to complete the process of external transfers of client’s assets. This position is composed of researching complex problems, monitoring work flow, maintaining department statistical information and providing operational support to our clients. Associate in this role are expected to provide excellent customer service, professionalism and superior support to internal and external clients.

Essential Dutiesand Responsibilities:

  • Reviews and approve client requests to transferaccounts to and from contra firms.

  • Screens incoming or outgoing client requests andverifies all necessary legal documentation that accompanies the client signeddocuments.

  • Scrutinizes information contained in alltypes of transfer forms and letters of authorization.

  • Maintains detailed records/notes to ensure allclient requests are completed within regulated time allotment.

  • Reconciles client accounts accurately.

  • Effectively creates and distributes clientcorrespondence.

  • Assists management in identifying procedures andpolicies that are outdated or ineffective.

  • Assists management to improve departmentproductivity through participation in unit meetings, ongoing training and self-development.

  • Answers mail, phone calls and email inquirieswith exemplary Service 1st professionalism.

  • Performs general clerical activities, includingfaxing, copying and filing.

  • Assists other areas of the department withvarious functions when volume is high and/or staffing levels are low.

  • Performs box count on a rotational schedule whenneeded.

  • Occasionally leads monthly functional teammeetings.

  • Performs other duties and responsibilities asassigned.


Knowledge,Skills, and Abilities:

Knowledge of:

  • Each type of security held by the firm and anunderstanding of the similarities and differences of each security, especiallyin terms of their complexities.

  • Various industry rules and regulations that mustbe followed when transferring accounts.

  • Other Home Office Operations departments.

  • Various required legal documentation needed toprocess requests.

Skill in:

  • Organizational and time management to prioritizeworkflow and ensure duties and projects are completed by the stated deadline.

  • Reasoning and problem solving to research andresolve complex problems.

  • Operating standard office equipments and usingrequired software applications, including Microsoft Office applications (Word,Excel, Power Point, Outlook and Access) sufficient to create documents,spreadsheets, and business correspondence.

Ability to:

  • Work independently and in a team environment,seeks out supervisor when needed.

  • Understand the firm risks when transferringclients assets.

  • Effectively communicate and interact with alllevels of management, other associates and counterparts at other firms.

  • Demonstrate efficiency and flexibility inperforming detailed transactional tasks in a fast-paced work environment withfrequent interruptions and changing priorities.

  • Work well under stress created by time deadlines,workflow volume changes, and telephone/associate inquiries.

  • Understand the various legal documents requiredby various companies in order to process client requests.

  • Learn and apply new information, skills, andprocesses, quickly including the various regulations, back office systems andimaging system.

  • Interpret financial statements.

Educational/PreviousExperience Requirements:

  • High School diploma or equivalent with a minimumof two (2) years of customer service and/or securities related experiencepreferred.

  • or

  • An equivalent combination of education,experience and/or training.


  • None required.

Job: Operations

Organization: Operations & Administration

Title: Transfer Associate (2nd Shift)

Location: MI-Southfield-Southfield

Requisition ID: 1902257