Registered Client Associate

Registered Client Associate

Job Category: Sales Support

Location: Little Rock, AR 72201, USA

Job Details

Description

ESSENTIAL DUTIES AND RESPONSIBILITIES

• Open new accounts, obtain required information, verify accuracy, and enter into system. Set up and maintain related files and documentation.
• Take and/or enter customer orders via Backoffice to exchanges and trading room, at request of broker or customer.
• Check reports and trade confirmations on past transactions to determine accuracy, identify any discrepancies and resolve.
• Respond to customer requests, provide information and resolve problems.
• Perform miscellaneous duties such as type correspondence and documents; answer telephones and take messages; greet visitors; make travel arrangements; make copies; mail printed materials; file; maintain reference books and materials.
• Perform other tasks as assigned by management.

EDUCATION AND/OR EXPERIENCE

• Bachelor's degree in Accounting, Marketing, Business Administration, Finance, or a related field
• 12-18 months of prior industry experience
• Equivalent combination of education and experience.

KNOWLEDGE, SKILLS AND ABILITIES

• Excellent verbal, written and organizational skills
• Attention to detail with emphasis on accuracy and quality
• Self-starter with the ability to manage time effectively, prioritize work to balance multiple projects, and meet deadlines with minimal supervision
• Analytical, critical thinking and problem solving skills with the ability to determine the appropriate action
• Establish and maintain effective working relationships at all levels of the organization
• Proficient in Microsoft Office Suite or similar software, with the ability to learn and utilize industry specific software as required
• Ability to maintain confidentiality
• Experience with Travel and Transport preferred
• Demonstrated reliability in attendance and work performance
• Ability to work overtime as required

CERTIFICATES, LICENSES, REGISTRATIONS

• SIE Securities Industry Essentials
• Series 7 General Securities Representative
• Series 63 - State Law Exam or Series 66 Combined State Law

Equal Opportunity Employer This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.