Client Associate

Overview D.A. Davidson Companies is an independent, employee-owned company with more than 80 years of history. We are dedicated to integrity and ethics, delivering outstanding service to clients and colleagues, and supporting a friendly, open culture that encourages candid communication and productive engagement. We work to strengthen local communities, and giving back is a core value. Learn more about our culture and impact in our annual report. D.A. Davidson, an employee-owned Financial Services firm, is seeking an exceptionally sharp, motivated and detail-oriented Client Associate to join our Omaha, NE branch. In this critical role, you will work with a team of financial professionals to provide excellent client service and support, assist the team’s financial advisers with investment research, prepare client reports, and maintain accurate account records. This is an outstanding opportunity to advance your career in the financial services industry in an environment of continual growth and development. Overview / Candidate Fit Do you have a unique desire to work with advisers and support them with their investment research and due diligence processes? Do you thrive in a collaborative team environment? Do you excel at building strong relationships and solving problems? Are you detail-oriented and committed to accuracy? Are you able to prioritize tasks and be responsible for multiple demands in a deadline-oriented environment? Do you have a desire to proactively learn and leverage innovative technology tools? Are you proficient with Microsoft Excel? If you answer yes to these questions, this job may be a great fit for you. Primary Qualifications Proven ability to build team relationships including excellent communication (written and verbal) and problem-solving skills. Ability to successfully handle multiple demands and competing priorities in a deadline-oriented environment, with strong follow-up skills. Strong attention to detail and accuracy, including the ability to perform semi-advanced math. Interest in the investment process. Preference given to candidates with current licenses: Securities Industry Essentials (SIE) and FINRA General Securities Representative (Series 7) Exam and Uniform Securities State Law Exam (Series 66 or Series 63/65). If not licensed, requirement to pass all tests for Series 7 and 66 (or 63/65) within 6 months of hire. High school graduate or comparable work experience; post-secondary education preferred. Proficiency with Microsoft Excel and solid skills with Word and Outlook, and a desire to learn and leverage innovative technologies to optimize client experience and support adviser investment research. Primary Duties Provide extraordinarily professional and courteous client service managing client requests, account maintenance and effectively articulating certain requirements in a regulatory environment. Review, maintain and process account documents and information; solve complex issues related to client accounts and transactions. Reconcile and prepare monthly and quarterly materials for client-facing meetings. Lead the team’s monthly and quarterly internal investment research report preparation process. Utilize Excel extensively on various investment analysis and client account reconciliation projects. Assist in developing and implementing periodic client mailings, communications and events. Facilitate the transfer of client funds and/or securities and the issuance of checks upon request. Interact with internal and external back-office partners to ensure work progresses smoothly. Seek to innovate and streamline processes. Provide general support, including phone, correspondence, appointments, research and other projects as assigned. Adhere to all branch, firm and compliance policies, procedures, rules and regulations. What We Offer Competitive salary plus excellent benefits and perks including: Medical, Dental and Vision Company 401(k) and ESOP contribution Generous sick, vacation, and maternity/parental leave Paid holidays Professional Development Opportunities Tuition Reimbursement ($15,000 lifetime cap) Discounted personal insurance including home, auto and recreational vehicles Charitable gift-matching program Davidson Day of Giving – Our tradition of positively impacting communities The compensation offered will be determined on a case-by-case basis considering factors including skills, relevant work experience, and geographic location of each candidate. D.A. Davidson has been in business for 90 years. As an employee-owned company, our success is driven by high standards of business ethics, integrity and the belief that our associates are our most important assets. We hope you will consider joining us! At D.A. Davidson, we are committed to fostering a diverse environment that supports the development and inclusivity of all employees. We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation. ACKNOWLEDGMENT Please answer all questions carefully. By submitting this application for employment, I certify that all of the above information is true and complete and I understand that any falsification or omission of information may disqualify me from further consideration for employment or, if hired, may result in my termination at any time during the period of my employment. California applicants, please see D.A. Davidson’s California Resident Privacy Policy. #J-18808-Ljbffr