Registered Client Service Associate- Coral Gables, FL (Bilingual Requirement)

Responsibilities

• Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes and scheduling of meetings, with prospective and existing clients on the phone, in-person, virtually and through mail.
• Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office.
• Onboards new clients, opens new client accounts and researches client and security information using internal databases and other technologies.
• Ensures key client information and documentation is current with firm and industry requirements, rules and regulations.
• Processes and monitors the transfer of assets to ensure all assets and cost basis were successfully received.
• Maintains and updates client information in CRM software.
• Prepares financial reports, spreadsheets and other materials for client meetings.
• Inputs orders and rebalances portfolios on behalf of the Financial Advisors.
• Affords assistance with marketing efforts including seminars and other client-facing events.
• Participates in available training/cross-training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures.
• Performs other duties and responsibilities as assigned.

Qualifications

• High School Diploma or equivalent and one (1) or more years securities industry or related work experience preferred, or an equivalent combination of experience, education, and/or training as approved by Human Resources.
• Bilingual Requirement: Spanish required.
• SIE required provided that an exemption or grandfathering cannot be applied.
• Series 7 required.
• Series 63, 65 and/or 66 as required by state.