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 Financial Advisors.
• Absorb and prepare new accounts, sending required documents to clients.
• Interact with clients via phone and in person, handling inquiries and scheduling appointments.
• Research and resolve account problems, missing documents, and errors, and follow up with clients.
• Create and review daily client reports for Financial Advisors.
• Act as a liaison between the Branch and Home Office for various projects and issues.
• Promote new clients through mailings and seminars.
• Maintain files in accordance with firm and regulatory guidelines.
• Perform various administrative tasks including scanning, organizing documents, scheduling meetings, and assisting with mailing and client requests.
• Provide backup support as needed to other branch support personnel.

Qualifications

• Proficient in Microsoft Office Suite and able to learn other software and technology.
• Detail-oriented and capable of managing multiple tasks in a fast-paced environment.
• Team player with excellent communication skills (oral and written).
• Exercise discretion in handling confidential information.

Education and/or Work Experience

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

Licenses/Registration

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