Registered Client Service Associate

Position Summary

Registered Service Associates perform operational support and oversight on behalf of the market as well as general management support functions and special projects. The role is responsible for daily functions such as document maintenance, money movement, trade support and various approvals. The Registered Service Associate must have the ability to resolve problems using all available resources and escalate matters, as necessary.

DUTIES And RESPONSIBILITIES

• Operational Support:
  • Perform asset movement functions such as reviewing check and security deposits, issuing checks, and approving cash and securities transactions
  • Responsible for the ongoing maintenance and ensure accuracy and managerial execution of operational logs
  • Process trade adjustments and manual trade tickets
  • Affiliate with Service Leadership in timely responses to operational alerts according to Firm policies and procedures
  • Execute actionable items upon review of delegated reports and requests to meet service level expectations
  • Manage documents, including quality reviews for accuracy and completeness, scanning and electronic filing
  • Oversee and distribute incoming and outgoing mail, including opening, sorting, and distributing regular and/or overnight mail at multiple points throughout the day
  • Serve as a resource to sales, service, risk and Home Office partners on behalf of Service Managers
  • Organize and track progress against operational remediation projects
• Other Assist with special projects (e.g., recruit onboarding support, Financial Advisor coverage, document retention)
• Perform various other administrative duties on behalf of the branch (e.g., telephone coverage, ordering supplies, facilities support, and assisting with client visits in a clerical capacity)

EDUCATION, EXPERIENCE, KNOWLEDGE, And SKILLS

• Education and/or Experience:
  • High School Diploma/Equivalency
  • College degree preferred
• Knowledge/Skills:
  • Strong computer skills and knowledge of Microsoft Office products
  • Exceptional writing, interpersonal and client service skills
  • Detail oriented with superior organizational skills and ability to prioritize tasks
  • Team player with the ability to collaborate with others
  • Ability to work in a fast-paced, evolving environment
  • Willingness to obtain Series 9 and Series 10 (SU) for delegation of supervisory functions