Registered Client Service Associate

Job Summary

Job Description Summary Supports Financial advisors and their prospective and existing clients and other branch staff team members. Demonstrates effective communication skills across multiple platforms (phone, email, in-person, virtual), as well as the ability to organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment.

• Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes and scheduling meetings with prospective and existing clients on the phone, in-person, virtually and through mailings.
• Work independently and within a dynamic team to provide crucial support to Financial Advisors and the branch office.
• Onboard new clients, open new client accounts, and research client and security information using internal databases and other technologies.
• Ensure key client information and documentation is current with firm and industry requirements, rules and regulations.
• Process and monitor the transfer of assets to ensure all assets and cost basis are successfully received.
• Monitor available cash awaiting investment, including running weekly cash and cash equivalent reports and contacting clients with investment opportunities to maximize returns.
• Review, assess and respond to all corporate action items and client account alerts.
• Prepare financial reports, spreadsheets and other materials for client meetings.
• Input orders and rebalance portfolios on behalf of the Financial Advisors.
• Create and maintain records and files utilizing Client Relationship Management (CRM) software.
• Assist Financial Advisors with marketing efforts including seminars and other client-facing events.
• Actively engage in available training, cross-training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures.
• Performs other duties and responsibilities as assigned.

• Company’s working structure, policies, mission, and strategies.
• Managed account platforms.
• General office practices, procedures, and methods.
• Investment concepts, practices and procedures used in the securities industry.
• Financial markets, products and industry regulations.
• Trading terminology.
• Client Relationship Management (CRM) software, or similar contact management software.
• Goal planning software.
• Excel, including developing spreadsheets as needed and for ongoing reporting.
• Effective communication across multiple client interactive platforms (in-person, virtual, phone and mail).
• Operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
• Analyze and research account information.
• Organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment.
• Identify time sensitive items and assess competing priorities.
• Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns.
• Handle stressful situations and provide a high level of customer service in a calm and professional manner.
• Analyze problems and establish solutions in a fast paced environment.
• Use mathematics sufficient to process account and transaction information.
• Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels, in person and virtually.
• Work both independently and as part of a cohesive team.
• Provide a high level of customer service.

• High School Diploma or equivalent and one (1) or more years securities industry or related work experience preferred, or an equivalent combination of experience, education, and/or training as approved by Human Resources.

• SIE required provided that an exemption or grandfathering cannot be applied.
• Series 7 required.
• Series 63, 65 and/or 66 as required by state.

High School (HS) (Required)

General Experience - 7 to 12 months

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