Registered Client Service Associate (Newport Beach or Los Angeles)

Responsibilities

• Learn and adapt to service the needs of various accounts in order to answer day-to-day questions from clients and advisors
• Quickly develop knowledge of a variety of forms and account procedures in order to assist clients
• Utilize research and technical support tools
• Produce quality analytical reports using various software programs
• Promote Firm services by enhancing relationships with advisors through timely and accurate responses to questions
• Operate independently as well as a member of a small team
• Absorb and prioritize daily work, track progress of projects and deadlines, answer phones, take messages and schedule appointments
• Demonstrate initiative and desire to increase knowledge of rules, regulations and concepts
• Local office interaction with other support members, Financial Advisors and Management

Requirements

• FINRA Registrations: Series 7 and 63/65 (or 66) required (within first six months of hire)
• 3+ years’ experience working as a sales assistant/CSA in a corporate/brokerage environment
• Possess a high degree of proficiency with technology including MS Office products (Word, Excel, PowerPoint and Outlook), and can quickly learn internal software programs
• Must be a team player with an energetic, positive disposition seeking growth and opportunity to expand the role
• Must be able to maintain the highest level of confidentiality
• Show strong accuracy and thoroughness in all facets of daily work and possess superb organizational skills
• Able to interface and articulate well with all levels of employees, management and clients in a highly professional, timely and friendly manner
• Able to meet designated deadlines and work effectively in a pressurized environment
• Demonstrate the ability to handle multiple tasks to completion with little or no supervision

Skills

• Ability to handle multiple tasks to completion with little or no supervision
• Strong accuracy and thoroughness in all facets of daily work
• Superb organizational skills
• Timely and accurate responses to questions
• High degree of proficiency with technology including MS Office products
• Ability to interface and articulate well with all levels of employees, management and clients

Benefits

This salary range is specific to California and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $55,000.00 - $65,000.00 at the time of this posting.

Pay

A reasonable estimate of the current base salary range is $55,000.00 - $65,000.00 at the time of this posting.

Schedule

Certain positions are eligible for additional forms of compensation such as discretionary bonus.