Registered Client Service Associate

Supports Financial advisors and their prospective and existing clients and other branch staff team members. Demonstrates effective communication skills across multiple platforms (phone, email, in-person, virtual), as well as the ability to organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment.

Responsibilities

Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes and scheduling of meetings, with prospective and existing clients; Works both independently and within a dynamic team environment to provide support to the financial advisors and branch office; Onboards new clients, opens new client accounts and researches client and security information; 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; Monitors available cash awaiting investment, including running weekly cash and cash equivalent reports and contacting clients with investment opportunities; Reviews, assesses and responds to all corporate action items and client account alerts; 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 CRM software; Assists Financial Advisors with marketing efforts including seminars and other client-facing events; Actively engages in training, cross-training and professional development opportunities; Performs other duties and responsibilities as assigned

Requirements

High School Diploma or equivalent; SIE required provided that an exemption or grandfathering cannot be applied; Series 7 required; Series 63, 65 and/or 66 as required by state; Effective communication across multiple client interactive platforms (in-person, virtual, phone and mail); Client Relationship Management (CRM) software, or similar contact management software; Excel, including developing spreadsheets as needed and for ongoing reporting; Organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment; Investment concepts, practices and procedures used in the securities industry; Financial markets, products and industry regulations; Use mathematics sufficient to process account and transaction information; Provide a high level of customer service

Nice to have

One (1) or more years securities industry or related work experience preferred; Managed account platforms; Goal planning software; Trading terminology

Benefits

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); parental leave