Senior Registered Client Associate

Job Description

Job Description

Seeking a Senior Registered Client Associate in Wealth Management.

In this role, you will:

· Assist Financial Advisor(s) with sales, service, and operational related activities such as providing 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,

· Execute various administrative functions for the Financial Advisor /Branch Management including, but not limited to, tracking referrals, coordinating, and executing marketing campaigns, establishing and maintaining files to meet the firm's regulatory requirements, and establishing and maintaining filing and record keeping necessary to support efforts to service and grow client relationships

· Act as the liaison for all referral sources by reviewing paperwork for completeness and forwarding to management for review when applicable

· Utilize prior experience in the Registered Client Associate role to anticipate and proactively seek resolutions to client and business-related issues

· Demonstrate seasoned judgment by handling complex clients with a high degree of professionalism

· Viewed by peers as a subject matter expert and sought by others for advice or guidance

· Provide knowledge and systems support to branch personnel and training for entry-level Client Associates

Required Qualifications:

· 4+ years of Brokerage and Client Services experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

· Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 66 (or 63 and 65) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

· Brokerage client support experience

· Administrative support experience in financial services

· Strong writing background with ability to proofread business correspondence for Syntax and grammatical consistency

· 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

Job Expectations:

· US Only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position

· In addition to state registration and licensing requirements, specific product licenses or SAFE licensing may apply

· Additional requirements include meeting enhanced financial fitness and criminal background standards

· Affiliate will initiate the FINRA licensing review process at the time of offer acceptance

· For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required

· Compliance with state law registration and licensing requirements is mandatory

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

· This position could be 1099 subcontractor or W2

· Compensation predicated on experience level

· Outside business activity will be a condition of employment/affiliation.

· Possible free tax preparation could be a conditional benefit (excluding Trust and C Corp returns)

Investment products and services are offered through Wells Fargo Advisors Financial Network, LLC (WFAFN), Member SIPC. Pen Select Investment Consulting is a separate entity from WFAFN.

\nCompany Description

This is ideal for someone who wants to work close to Bethel Park and has experience at a wirehouse. This will be a 2 person office with a lot of flexibility.

Company Description

This is ideal for someone who wants to work close to Bethel Park and has experience at a wirehouse. This will be a 2 person office with a lot of flexibility.