Licensed Client Associate

About the role

SWBC is seeking a talented individual to assist Financial Advisors and/or Consultants with servicing clients, enhancing production, and placing trades.

Essential Duties

• Provides telephone customer service to brokerage and investment clients by providing accurate information regarding their investment; answering questions regarding existing accounts; and handling requests such as additional purchases, redemptions, and account changes.
• Places trades as instructed by Financial, Consultants or clients according to the firm’s policies and procedures.
• Solicits existing client base by phone for appointments and additional sales.
• Acts as a backup for Financial Advisors and/or Consultants to accept trades and provide consultation and recommendations to existing clients and potential clients.
• Oversees account documents, forms, and reports and submits business to operations.
• Gathers sales and productivity information for representatives and produces reports as directed by department management for activities within the investment program and/or Financial Advisors or Consultants.
• Travels to branches or other required locations when needed to cover appointments for Financial Advisors and/or Consultants; meets with clients to discuss financial situation; and makes recommendations on investment products as directed by Financial Advisors and/or Consultants.
• Maintains referral system for accuracy; and provides feedback for referrals and Financial Advisors and/or Consultants as instructed by Financial Advisors and/or Consultants.
• Performs analysis of financial products and prepares client presentations.
• Confirms and schedules appointments with referrers.
• Performs other duties as required.

Qualifications

• Associate’s Degree in Business, Finance, Marketing, or related field or equivalent experience required.
• Bachelor’s Degree in Business, Finance, Marketing, or related field from an accredited four-year college or university preferred.
• Minimum of two (2) years in investment sales, service, trades, consultation support, or related experience.
• Series 7 and Series 63 license, Group I license, current Texas driver’s license, and excellent driving record required.
• Working knowledge of investments, insurance, financial products, financial planning, and use of financial planning tools.
• Excellent communication (verbal and written) and telephone etiquette skills.
• Strong analytical/problem solving skills
• Strong ability to focus on details, demonstrate accuracy, and maintain a high level of confidentiality.
• Proficient in standard Office software such as Word, Excel, Access, and PowerPoint; and ability to work with a variety of finance/investment systems.
• Excellent interpersonal and organizational skills.
• Able to work in a fast paced professional environment with heavy phone-based customer interaction.
• Able to work in a team and support multiple Advisors in multiple locations.
• Able to sit for long periods of time assisting customers on the phone and while executing, updating, and validating computer applications and data.
• Able to stoop, kneel, and lift 10-20 lbs. of files or other documents.
• Able to travel locally.

Benefits

• Competitive overall compensation package
• Work/Life balance
• Employee engagement activities and recognition awards
• Years of Service awards
• Career enhancement and growth opportunities
• Ledership Academy and Mentor Program
• Continuing education and career certifications
• Variety of healthcare coverage options
• Traditional and Roth 401(k) retirement plans
• Lucrative Wellness Program