Registered Client Associate

Responsibilities

• Build and foster strong client relationships through superior member service.
• Process new account applications, financial and maintenance requests (copy, mail, scan, upload to broker dealer platform).
• Review for completeness and accuracy.
• Connect with others in a way that fosters trust and creates collaborative relationships.
• Utilize available technology and tools to support efficient and effective time management.
• Aid Advisors in organizing and implementing productivity-based campaigns.
• Create financial reports and track leads.
• Resolve Back to Reps (BTR’s) in a timely manner.
• Take buy and sell orders from clients and place them with registered B/D for execution.
• Schedule appointments for client meetings and maintain accurate records of appointments on financial advisor’s calendar.
• Comply with Citadel’s and broker-dealer’s operation and security and compliance procedures.
• Perform other duties as assigned.

Qualifications

• High School Diploma.
• Bachelor’s Degree (preferred).
• 5 years of customer service and financial industry experience.
• Securities Industry Essentials (SIE) exam is required.
• Series 6 and 63 licenses, or ability to obtain within the first 6 months in role.
• Proficient skills in Microsoft Office products.
• Sincere interest in providing outstanding member service.