Registered Client Service Associate - Bilingual Spanish/English

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
• 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-Fill Account Documentation on Client Accounts and/or Documents in a Clerical Capacity at the Direction of the Client and/or FA/PWA
• 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 (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
• Aiding in 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

Education, Experience, Knowledge, And Skills

• Bilingual Spanish/English
• High School Diploma/Equivalency
• College Degree Preferred
• Industry Experience is a Plus
• Willingness to Obtain Series 7 (GS), and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA)
• 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 Multi-Task
• Goal-Oriented, Self-Motivated and Results Driven

Reports To

Business Service Officer