WBS Registered Client Associate

Req #:
5037394
| Type:
Full Time | Posted:9/29/2014| Edited:
10/27/2014
|Fee:
25.00%
Percentage Computed On Base Salary

Base Salary - $30,000 - $45,000

Target - $40,300

Benefits - Full Relocation Assistance Available - No

Travel - None

Bonus : NA

Honor Period: 6 months

• Opening accounts and processing paperwork working with internal departments and/or directly with the client in solving service/operational issues.
• Answering or providing information regarding procedural/sales questions.
• Processing client service requests (address changes, statement copies, etc.).
• Processing the movement of funds and equities.
• Scheduling appointments for new and existing clients.
• Monitoring and tracking referrals and sales results.
• Maintaining compliance files.
• Issuing sales/marketing information to clients.
• Preparing sales packages.
• Ordering supplies.
• Maintaining file system for prospective and existing clients.
• Reviewing paperwork for completeness and forwarding to management for review.
• May act as a back‑up in taking and executing unsolicited investment orders directly from clients and/or via toll‑free number.

• Series 7 and 63 (or equivalent) licenses required.

• Insurance licenses or ability to obtain within 120 days.
• Client service oriented detail oriented and ability to multi‑task.
• Good written and verbal communication skills.

• Fully licensed at time of hire (S7, 63 or equivalent, and Insurance).

• **
  * PLEASE NOTE:
  
  YOU MUST HAVE BOTH THE SERIES 7 AND THE SERIES 63 OR EQUIVALENT TO BE CONSIDERED FOR THIS POSITION***

DO NOT SUBMIT ANYONE WITHOUT THEIR SERIES 7 AND THE SERIES 63

All your information will be kept confidential according to EEO guidelines.