Registered Client Service Associate (Cottonwood Heights, UT)

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 mailings.
• 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 records and files utilizing Client Relationship Management (CRM) software.
• 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

• Company’s working structure, policies, mission, and strategies.
• Managed account platforms.
• General office practices, procedures, and methods.
• Investment concepts, practices and procedures used in the securities industry.
• Financial markets, products and industry regulations.
• Trading terminology.
• Client Relationship Management (CRM) software, or similar contact management software.
• Goal planning software.
• Excel, including developing spreadsheets as needed and for ongoing reporting.
• Effective communication across multiple client interactive platforms (in-person, virtual, phone and mail).
• Operate standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
• Analyze and research account information.
• Organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment.
• Identify time sensitive items and assess competing priorities.
• Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns.
• Handle stressful situations and provide a high level of customer service in a calm and professional manner.
• Analyze problems and establish solutions in a fast paced environment.
• Use mathematics sufficient to process account and transaction information.
• Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels, in person and virtually.
• Work both independently and as part of a cohesive team.
• Provide a high level of customer service.