Registered Client Associate
You will assist financial advisors with sales, service, and operational activities; provide telephone, in-person, and written client support; handle account requests and quotes; schedule and prepare appointments; establish and service client accounts; research inquiries; manage administrative records; coordinate marketing campaigns; and review referral paperwork.
Responsibilities
- Assist financial advisors with sales, service, and operational activities
- Provide service to clients by telephone, direct interaction, and written correspondence
- Facilitate account information, quote, scheduling, and appointment requests
- Establish and service client accounts
- Prepare forms and research account inquiries and issues
- Perform administrative functions for financial advisors and branch management
- Track referrals and coordinate marketing campaigns
- Maintain regulatory files and records
- Review referral paperwork for completeness and forward it for management review
Requirements
- 1+ year of brokerage and client services support experience or equivalent experience, training, military experience, or education
- Successfully completed FINRA Series 7 and 63 examinations or recognized equivalents
- Brokerage client support experience
- Administrative support experience in financial services
- Direct customer interaction experience
- Intermediate Microsoft Office skills
- Ability to listen to customer needs and recommend solutions
- Ability to prioritize work, meet deadlines, and achieve goals
Benefits
- Health benefits
- 401(k) Plan
- Paid time off
- Disability benefits
- Life insurance
- Critical illness insurance
- Accident insurance
- Parental leave
- Critical caregiving leave
- Discounts and savings
- Commuter benefits
- Tuition reimbursement
- Scholarships for dependent children
- Adoption reimbursement