Registered Client Associate

Summary/Function

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

Primary Qualifications

• 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 to include stocks, bonds, margin accounts, options, mutual funds, annuities and insurance products
• At least two years 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, 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
• Prior 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

Primary Duties

• Provide exceptionally professional and courteous customer service supporting client satisfaction including effectively articulating certain requirements in a regulatory environment
• Adherence 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
• Aid FA in comprehensive financial plans for current and prospective clients
• Aid 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 to include 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!

What we offer

• Competitive salary plus excellent benefits and perks including, but not limited to:
• Medical, Dental and Vision
• 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
• Davison Day of Giving - Our tradition of positively impacting communities in which we live and work

Potential Pay Range

The potential base pay hiring range for this role is $30.00 to $32.00 per hour. 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.