Registered Client Associate

About This Role

Assist Financial Advisors with sales, service, and operational activities, providing support to clients via various communication channels. Facilitate client requests, establish new accounts, and perform administrative functions to maintain regulatory compliance and grow client relationships.

Responsibilities

• Assist Financial Advisor(s) with sales, service and operational related activities
• Provide service to clients via telephone, direct interaction and/or written correspondence
• Facilitate Financial Advisor and client requests for account related information and/or quotes
• Schedule and prepare for appointments with new or prospective clients
• Establish and service client accounts
• Prepare forms, research account inquiries and/or issues
• Perform various administrative functions for Financial Advisor(s) and Branch Management
• Track referrals and coordinate marketing campaigns
• Establish and maintain files to meet the firm's regulatory requirements
• Act as the liaison for all referral sources by reviewing paperwork for completeness

Requirements

• 2+ years of Brokerage and Client Services experience
• Successfully completed FINRA Series 7 and 63 examinations (or FINRA recognized equivalents)

Qualifications

• 2+ years of Brokerage and Client Services experience

Nice to Have

• Brokerage client support experience
• Administrative support experience in financial services
• Experience interacting directly with customers
• Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
• Client service focus with the ability to listen to customer needs and recommend solutions
• Ability to prioritize work, meet deadlines, achieve goals, and work in a dynamic and complex environment

Skills

* Required skills

Benefits