Registered Financial Client Associate

Job Description

Job Description

Summary:

Under direct supervision, the Registered Financial Client Associate assists the Financial Advisor (s) by providing a wide variety of administrative support to maintain client accounts, including but not limited to client service, account research, completing paperwork, maintaining client notes, greeting visitors, responding to phone and email inquiries, researching and resolving questions, filing and record keeping in accordance with Compliance regulations by following policy and procedure. Partner closely with a Financial Advisor (s) to collaborate on delivering a seamless client experience.

Essential Duties & Responsibilities:

• Provide client service and support related to check requests, deposits, wiring funds, record-keeping and adjustments.
• Provide quotes and other account-related information to assist clients.
• Accept and enter orders from clients and/or on behalf of the Financial Advisor (s).
• Assist Financial Advisor(s) with opening new accounts and send required account and transaction documents to clients. 
• Interacts daily on the phone and in person with clients handling basic inquiries and scheduling appointments.
• Research and resolve account problems, missing documents, etc. Identify errors and initiate corrective measures. Follow up and relay correct information to clients.
• Create, prepare and review daily client reports for Financial Advisor(s)
• Act as liaison between the Branch and Home Office for various projects and issues, such as technology needs, outside vendors, branch procedures, etc. 
• Assist Financial Advisor(s) with the prospecting of new clients through mailings and seminars. 
• Maintain files in accordance with firm and regulatory guidelines. 
• Perform various administrative tasks including but not limited to scanning and organizing documents, scheduling client meetings and calendar events, executing daily tasks and notification, preparing correspondence and assist with mailing and client requests. 
• Perform administrative duties as required by the Financial Advisor(s) or Branch Manager.
• Provide backup support as required to other branch support personnel.
• Perform other related duties as assigned.

Qualifications:

• Proficient experience with Microsoft Office Suite and ability to learn other software and technology.
• Detail oriented and able to manage a variety of tasks.
• Ability to organize, prioritize and manage multiple tasks in a fast-paced, evolving environment.
• Team player with the ability to collaborate with others.
• Excellent communicator (oral and written) across a wide variety of communication channels (in-person, phone and virtually); solid interpersonal skills.
• Exercise discretion in handling confidential information.

 

Education and/or Work Experience :

• Minimum Required: Bachelor’s Degree required or equivalent work experience.
• Minimum required: 2+ years work experience in financial services experience.

 

Licenses/Registration:

• Minimum required: Series 7 and Series 63/65 or Series 66. 

Work Environment:

This position requires the ability to work in a stationary position for several hours at a time and the ability to lift up to 25 pounds, occasionally. Some filing is required. The work environment is an air-conditioned, smoke-free, office environment. This position routinely uses standard office equipment such as computers, phones, photocopiers and filing cabinets.