Registered Client Service Associate

Registered Client Service Associates

Provides exceptional service to clients and supports Financial Advisors (FAs)/ Private Wealth Advisors (PWAs)/ teams on a daily basis. Builds trusted relationships through regular interactions.

Duties And Responsibilities

• Provide Service Coverage for a FA/PWA/team, including supporting FA/PWA/team in cultivating and enhancing client relationships.
• Execute money movement transactions at the request of the client and/or FA/PWA/team.
• Answer general non-investment related questions concerning client accounts, including relaying stock positions and providing account balances.
• Enter profile information or pre-fill account documentation on client accounts and/or documents in a clerical capacity at the direction of the client and/or FA/PWA/team.
• Enroll clients in digital tools (e.g. MSOnline, eSign, eAuthorization).
• Onboard and maintain client accounts, including collecting client information and required documentation in a clerical capacity at the direction of the client and/or FA/PWA/team.
• Provide existing clients with details around their account information (e.g., investment objectives, risk tolerance).
• Accept or enter unsolicited orders and/or enter solicited orders in a clerical capacity at the direction of the FA/PWA/team.
• Support FAs / PWAs / teams’ marketing strategy (e.g., website maintenance).
• Aid FAs / PWAs/ teams in delivering against their business plan and client service model.
• Remain current on all policies, procedures, and new platforms.
• Participate in firm initiatives (e.g., training or education programs), special projects and/or other duties directed by local management.

Qualifications

• High School Diploma/Equivalency, College degree preferred.
• Two or more years of industry experience preferred.
• Knowledge of financial services products, including but not limited to equities, bonds, options, mutual funds, annuities, insurance, and managed accounts.
• 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 able to multitask.