Senior Registered Financial Client Associate

Senior Registered Financial Client Associate

The Wheaton, Illinois branch of Benjamin

F. Edwards is seeking a Senior Registered Financial Client Associate to join our team. The Senior Registered Financial Client Associate is a critical teammate in providing exceptional service and support to a Financial Advisor or team of Advisors and clients, ensuring that all client needs are met in a timely and efficient manner. The role offers an opportunity to shape the client experience, delight those we serve, and forge lifelong relationships of trust and confidence.

The Senior Registered Financial Client Associate assists the Financial Advisor(s) with minimal supervision by providing a wide variety of administrative support to maintain client accounts, including client service, account research, paperwork completion, client note maintenance, visitor greeting, and response to phone and email inquiries. The Associate performs research, resolves questions, and maintains records in accordance with Compliance regulations by following policy and procedure.

• Provide client service and support related to check requests, deposits, wiring funds, record‑keeping and adjustments.
• Assist with preparing reports and materials for client meetings.
• May participate in live meetings with the Financial Advisor(s) and their clients.
• 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 with opening new accounts and sending required account and transaction documents to clients.
• Interact daily on the phone and in person with clients handling basic inquiries and scheduling appointments.
• Ensure client information and documentation is current with firm and industry requirements, rules, and regulations. 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 the 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 the 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 notifications, preparing correspondence and assisting with mailing and client requests.
• Act as a mentor and a resource to other team members; assist with training as needed.
• 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.

• Proficient experience with Microsoft Office Suite and ability to learn other software and technology.
• Analyze problems and establish solutions.
• Ability to work independently with minimal supervision and as a member of a team; collaborate with others.
• Ability to demonstrate seasoned judgement by handling clients with a high degree of professionalism.
• Take initiative and proactively follow up on items to ensure completion, resolve errors, answer questions and follow up on concerns.
• Organize, prioritize and manage multiple tasks in a fast-paced, evolving environment while delivering accurate and timely results.
• 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.

• Minimum required:
  Bachelor’s degree or equivalent work experience.
• Minimum required: 10+ years of client service experience in financial services or equivalent.

• Between $29.00 to $37.00 per hour

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

This position requires the ability to work in a stationary position for several hours at a…