Registered Client Service Associate

Client Support

• 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

Administrative Support

• Answering inbound phone calls or making outbound calls with updates on service requests (e.g., scheduling follow-up calls with FAs / PWAs / teams as needed)
• Managing the calendar including coordinating meetings or events with logistics such as material prep (e.g., maintaining agendas, sending calendar invites with Zoom credentials)
• Maintaining travel itineraries, preparing expense reports and managing the reimbursement process
• Assisting with general in-office support functions such as copying, filing and scanning documentation
• Preparing and submitting expense reports for processing at the direction of the FA/PWA