Registered Financial Client Associate

About the role

The Registered Financial Client Associate provides administrative support to Financial Advisors, assisting with client service, account management, and compliance requirements.

Responsibilities

• Provide client service and support related to check requests, deposits, wiring funds, record-keeping and adjustments.
• Accept and enter orders from clients and/or on behalf of the Financial Advisor(s).
• Aid in opening new accounts and sending required account and transaction documents to clients.
• Interact daily on the phone and in person with clients, handling basic inquiries and scheduling appointments.
• Research and resolve account problems, missing documents, etc., identifying errors and initiating corrective measures.
• Follow up and relay correct information to clients.
• Create, prepare, and review daily client reports for Financial Advisor(s).
• Act as a liaison between the Branch and Home Office for various projects and issues, such as technology needs, outside vendors, branch procedures, etc.
• Support the prospecting of new clients through mailings and seminars.
• Maintain files in accordance with firm and regulatory guidelines.
• Perform various administrative tasks including scanning and organizing documents, scheduling client meetings and calendar events, executing daily tasks and notifications, preparing correspondence, and assist with mailing and client requests.
• Provide backup support as required to other branch support personnel.
• Perform other related duties as assigned.

Qualifications

• Proficient experience with Microsoft Office Suite and ability to learn other software and technology.
• Detail-oriented and able to manage a variety of tasks.
• Organized, prioritizes, and manages multiple tasks in a fast-paced, evolving environment.
• Team player with the ability to collaborate with others.
• Excellent communicator (oral and written) across a wide variety of communication channels (in-person, phone and virtually); solid interpersonal skills.
• Exercises discretion in handling confidential information.

Education and/or Work Experience

• Minimum Required: Bachelor’s Degree required or equivalent work experience.
• Minimum required: 2+ years work experience in financial services experience.

Licenses/Registration

• Minimum required: Series 7 and Series 63/65 or Series 66.

Pay Range

Between $29.24 to $36.54 per hour.

Work Environment

• This position requires the ability to work in a stationary position for several hours at a time and the ability to lift up to 25 pounds, occasionally.
• Some filing is required.
• The work environment is an air-conditioned, smoke-free, office environment.
• This position routinely uses standard office equipment such as computers, phones, photocopiers and filing cabinets.