Registered Financial Client Associate

About the role

The Wheaton, Illinois branch of Benjamin F. Edwards is seeking a Registered Financial Client Associate to join our team. The Registered Financial Client Associate is a critical teammate in providing exceptional service and support to a Financial Advisor or team of Advisors and clients ensuring that all clients' needs are met in a timely and efficient manner.

Responsibilities

• Provide client service and support related to check requests, deposits, wiring funds, record-keeping and adjustments.
• Aid in preparing reports and materials for client meetings.
• May participate in live meetings with the Financial Advisor(s) and their clients.
• Offer quotes and other account-related information to assist clients.
• Accept and enter orders from clients and/or on behalf of the Financial Advisor(s).
• Assist Financial Advisor(s) with opening new accounts and sending required account and transaction documents to clients.
• Greet visitors, respond to phone and email inquiries, and research and resolve questions.
• Maintain client information and documentation current with firm and industry requirements, rules, and regulations.
• Research and resolve account problems, missing documents, etc.
• Identify errors and initiate 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.
• Promote new clients through mailings and seminars.
• Maintain files in accordance with firm and regulatory guidelines.
• Perform various administrative tasks including but not limited to scanning and organizing documents, scheduling client meetings and calendar events, executing daily tasks and notifications, preparing correspondence, assisting with mailing and client requests.
• Act as a mentor and resource to other team members; assist with training as needed.
• Perform administrative duties as required by the Financial Advisor(s) or Branch Manager.
• 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.
• Analyze problems and establish solutions.
• Ability to work independently with minimal supervision and as a member of a team; collaborate with others.
• Exercise seasoned judgment by handling clients with a high degree of professionalism.
• Take initiative and proactively follow up on items to ensure completion, resolve errors, answer questions and follow up on concerns.
• Organize, prioritize and manage multiple tasks in a fast-paced, evolving environment while delivering accurate and timely results.
• Excellent communicator (oral and written) across a wide variety of communication channels (in-person, phone and virtually); solid interpersonal skills.
• Exercise discretion in handling confidential information.

Education and/or Work Experience

• Minimum Required: Bachelor’s degree or equivalent work experience.
• Minimum required: 2+ years of client service experiences in financial services experience or equivalent.

Licenses/Registration

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