Registered Client Service Associate

Position Summary

Registered Client Service Associates provide exceptional service to our clients and support Financial Advisors (FAs)/ Private Wealth Advisors (PWAs)/ teams on a daily basis. Through regular interactions with clients, individuals in this role build trusted relationships. Leading with a client-first mindset, a successful candidate for this role will have strong interpersonal skills and will be able to assist clients with their everyday needs.

DUTIES AND RESPONSIBILITIES

• Provide Service Coverage for a FA/PWA/team Including Supporting the FA/PWA/team in Cultivating and Enhancing New and Existing Client Relationships
• Executing Money Movement Transactions at the Request of the Client and/or FA/PWA/team
• Answering General Non-Investment Related Questions Concerning Client Accounts, Including Relaying Stock Positions, and Providing Account Balances (e.g., Funds Due and Margin Debit)
• Entering Profile Information or Pre-Filling Account Documentation on Client Accounts and/or Documents in a Clerical Capacity at the Direction of the Client and/or FA/PWA/team
• Education or Enrolling Clients in Digital Tools (e.g., MSOnline, eSign, eAuthorization)
• Onboarding and Maintaining Client Accounts, Including Collecting Client Information and Required Documentation in a Clerical Capacity at the Direction of the Client and/or FA/PWA/team
• Providing Existing Clients with Details Around Their Account Information (e.g., Investment Objectives, Risk Tolerance)
• Accepting or Entering Unsolicited Orders and/or Entering Solicited Orders in a Clerical Capacity at the Direction of the FA/PWA/team
• Supporting the FAs / PWAs / Teams’ Marketing Strategy (e.g., Website Maintenance)
• Aiding FAs / PWAs/ Teams in Delivering Against Their Business Plan and Client Service Model
• Remaining Current on All Policies, Procedures, and New Platforms
• Participating in Firm Initiatives (e.g., Training or Education Programs), Special Projects and/or Other Duties Directed by Local Management

QUALIFICATIONS

• Educational and/or Experience: High School Diploma/Equivalency, College Degree Preferred
• Experience: Two or More Years of Industry Experience Preferred
• Knowledge/Skills: Knowledge of Financial Services Products, Including but Not Limited to Equities, Bonds, Options, Mutual Funds, Annuities, Insurance, and Managed Accounts
• Detail-Oriented with Superior Organizational Skills and Ability to Prioritize
• Advanced Microsoft Office Skills (Word, Excel, Outlook and PowerPoint)
• Exceptional Writing, Interpersonal, and Client Service Skills
• Strong Time Management Skills
• Team Player with the Ability to Collaborate with Others
• Adaptable and Ability to Multitask
• Goal-Oriented, Self-Motivated, and Results Driven