Registered Client Associate

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning 90 years. We are dedicated to conducting our business in accordance with the highest standards of integrity and ethics, and delivering outstanding service to our clients and each other. We support a friendly, open and supportive culture, and encourage candid communication and productive engagement that make our companies and each of us better. Just as we work to improve our clients’ financial well-being, we also work to strengthen local communities—and giving back is one of our core values.

About the role

We are currently seeking an exceptional individual to join a dynamic and high-producing team in our Lake Oswego, OR office. This team-critical role requires outstanding attention to detail, the ability to balance multiple requests, exceptional client service skills, and a high level of integrity and confidentiality with respect to client, FA, branch, and company information.

Responsibilities

• Provide exceptionally professional and courteous customer service supporting client satisfaction, including effectively articulating certain requirements in a regulatory environment.
• Adhere to all Branch, Firm, and Compliance policies, procedures, rules, and regulations.
• Review, maintain, and process account documents and information.
• Inform FA of meaningful information and activities related to client accounts and transactions, including suspicious activity.
• Assist FA with comprehensive financial plans for current and prospective clients.
• Assist FA in developing and implementing periodic client mailings, communications, and events.
• Facilitate the transfer of client funds and/or securities and the issuance of checks upon request.
• Enter orders, including buy/sell stock and bond trades, sell stop orders, option and margin trades, and mutual funds.
• Provide administrative support, including but not limited to phone, correspondence, appointments, filing, and other projects as assigned by the FA and/or Branch Manager.
• Other projects and duties as assigned.

Requirements

• Successful completion of the (SIE) Securities Industry Essentials and FINRA General Securities Representative (Series 7) Exam and Uniform Securities State Law Exam (Series 66 [or Series 63/65]) or the ability to obtain licensing is required.
• Significant knowledge of the securities industry, its operations, and products, including stocks, bonds, margin accounts, options, mutual funds, annuities, and insurance products.
• At least two years of previous experience as a Registered Client Associate.
• Post-secondary education preferred.
• Solid technology skills (Microsoft Word, Excel, and Outlook). Experience with Thomson ONE, Envestnet, CRM, and Money Guide Pro preferred.
• Excellent communication (written and verbal), problem-solving, and client service skills.
• Strong attention to detail and accuracy, including the ability to perform semi-advanced math.
• Proven ability to manage multiple demands and competing priorities in a deadline-oriented environment.
• Ability to maintain regular, predictable attendance and to work overtime as needed.

Benefits

• Competitive salary plus excellent benefits and perks, including but not limited to:
  • Medical, Dental, and Vision coverage
  • Company 401(k) and ESOP contribution
  • Generous sick, vacation, and maternity/parental leave
  • Paid holidays
  • Professional Development Opportunities
  • Tuition Reimbursement ($15,000 lifetime cap)
  • Discounted personal insurance, including home, auto, and recreational vehicles
  • Charitable gift-matching program
  • Davidson Day of Giving – Our tradition of positively impacting communities in which we live and work

The compensation offered will be determined on a case-by-case basis considering a variety of factors, including but not limited to, the skills, relevant work experience, and geographic location of each specific candidate.