Senior Registered Associate

Overview

Provide administrative and operational support for an assigned group of Financial Advisors (FAs). The support provided will vary depending on the requirements of the FAs and the branch. The position is required to maintain a high degree of confidentiality with respect to client, FA, branch and company information. In addition, the position may be required to function independently in the FA’s absence and maintain responsibilities of the desk in accordance with branch, firm and regulatory policies and procedures.

$/yr - $/yr

• 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

• Provide professional, courteous customer service to ensure client satisfaction. May enter solicited trades and contact clients on behalf of the FA in some situations.
• Call current and potential clients with investment ideas and product availability to generate sales and promote goodwill at the direction of the FA.
• Research complex problems in client accounts and follow through until resolved. Notify the FA and/or client of resolution.
• Achieve and maintain a solid understanding of all product categories including managed accounts, retirement accounts and annuities.
• Review and maintain all account documentation and information; facilitate transfer of funds/securities and issuance of checks on request.
• Inform FA of important information and activities related to client accounts and transactions, including issues related to client suitability.
• Provide professional telephone support for the assigned FA; compose and type letters and memoranda according to policies and procedures.
• Assist FA in developing client communications to enhance relationships with clients.
• Monitor for problems and alert the FA or Branch Manager when necessary.
• Enter orders for buys/sells, options, margin trades and mutual funds; utilize the Firm’s desktop systems for client service and business enhancement.
• Perform other duties and special projects as necessary, including back-up support for other branch positions and mentoring/training less experienced staff.

• Successful completion of the FINRA General Securities Representative (Series
  7) Exam and Uniform Securities State Law Exam (Series 63) or Uniform Combined State Law Exam (Series 66), whichever is applicable.
• Recommended minimum five years of relevant experience as a Registered Associate.
• Seasoned knowledge of the securities industry, its operations and products including stocks, bonds, margin accounts, options, retirement plans, mutual funds, annuities, estate procedures, Rule 144 or restricted securities, and cashless stock options.
• Familiarity with general company policies and back-office operations and securities industry requirements.
• Proficient computer skills (Word, Excel, Outlook); basic knowledge of taxes and implications; solid mathematical aptitude.
• Strong organizational and problem-solving skills; strict attention to detail; ability to work independently and manage multiple deadlines.
• Ability to work in a computerized environment and overtime as needed; maintain client confidentiality.
• Effective communication and professional language/grammar; ability to work with external and internal clients.
• Regular, predictable attendance.

The potential base pay hiring range for this role is $28.85 to $33.65 per hour (equivalent to $60,000 to $70,000), plus incentive compensation opportunities with a total annualized compensation range between $135,000 to $155,000 for highly qualified candidates. Compensation is determined on a case-by-case basis considering factors including skills, experience, and geographic location. This role is eligible to participate in applicable D.A. Davidson variable compensation programs.

• Not Applicable

• Full-time

• Other