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.
• Aid in opening new accounts and sending required documents to clients.
• Interact with clients via phone and in person, handling inquiries and scheduling appointments.
• Research and resolve account issues, missing documents, and other problems.
• 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 document scanning, scheduling, and assisting with mailing and client requests.
• Provide backup support as needed to other branch support personnel.

Qualifications

• Minimum 2+ years of work experience in financial services.
• 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.
• Excellent communicator (oral and written) with strong interpersonal skills.
• Exercise discretion in handling confidential information.

Skills

• Microsoft Office Suite proficiency.
• Ability to manage multiple tasks and prioritize effectively.
• Strong organizational and problem-solving skills.
• Effective communication and interpersonal skills.
• Discretion and confidentiality.

Benefits

Comprehensive benefits package including health, dental, vision, 401(k), life insurance, disability, and paid time off.

Pay

Competitive compensation based on experience and qualifications.

Schedule

Full-time position with flexible working hours to accommodate client needs.

Requirements

• Minimum Required: Bachelor’s Degree or equivalent work experience.
• Minimum Required: 2+ years work experience in financial services.
• Minimum Required: Series 7 and Series 63/65 or Series 66 license.