Senior Registered Client Associate- Jacksonville, FL

About the role

Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes and scheduling of meetings, with prospective and existing clients on the phone, in-person, virtually and through mailings.

Helps manage and standardize best practices for various activities: new client on-boarding, large client liquidity events, private placement investment monitoring.

Trading of both discretionary and non-discretionary products, model maintenance and performance tracking.

Servicing of alternative investments and foreign accounts, including setup and maintenance.

May participate in live meetings with the Financial Advisor and their respective client(s).

Manages budgeting and tracking of Financial Advisor expenses.

Creates reports to build more practice efficiencies, identify key practice performance metrics, and helps implement processes to further enhance the team’s performance.

Onboards new clients, opens new client accounts and researches client and security information using internal databases and other technologies.

Ensures key client information and documentation is current with firm and industry requirements, rules and regulations.

Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office.

May solicit order from clients at the direction of the Financial Advisor.

Receives unsolicited orders from the clients; may enter unsolicited trades at the direction of the Financial Advisor.

Affords assistance with marketing efforts including seminars, mail and other client-facing events.

Actively engages in available training/cross-training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures.

Acts as mentor and resource to junior team members; manages team workflow and works towards creating greater team operational efficiencies.

Responsibilities

• Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes and scheduling of meetings, with prospective and existing clients on the phone, in-person, virtually and through mailings.
• Helps manage and standardize best practices for various activities: new client on-boarding, large client liquidity events, private placement investment monitoring.
• Trading of both discretionary and non-discretionary products, model maintenance and performance tracking.
• Servicing of alternative investments and foreign accounts, including setup and maintenance.
• May participate in live meetings with the Financial Advisor and their respective client(s).
• Manages budgeting and tracking of Financial Advisor expenses.
• Creates reports to build more practice efficiencies, identify key practice performance metrics, and helps implement processes to further enhance the team’s performance.
• Onboards new clients, opens new client accounts and researches client and security information using internal databases and other technologies.
• Ensures key client information and documentation is current with firm and industry requirements, rules and regulations.
• Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office.
• May solicit order from clients at the direction of the Financial Advisor.
• Receives unsolicited orders from the clients; may enter unsolicited trades at the direction of the Financial Advisor.
• Affords assistance with marketing efforts including seminars, mail and other client-facing events.
• Actively engages in available training/cross-training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures.
• Acts as mentor and resource to junior team members; manages team workflow and works towards creating greater team operational efficiencies.

Requirements

Knowledge Of Company’s working structure, policies, mission, and strategies.

Managed account platforms.

General office practices, procedures, and methods.

Advanced investment concepts, practices and procedures used in the securities industry.

Financial markets, products and industry regulations.

Trading terminology.

Skills

• In Client Relationship Management (CRM) software, or similar contact management software.
• Goal planning software.
• Excel, including developing spreadsheets as needed and for ongoing reporting.
• Effective communication across multiple client interactive platforms (in-person, virtual, phone and mail).

Qualifications

• High School Diploma or equivalent and five (5) years of financial services industry service experience, or an equivalent combination of experience, education, and/or training as approved by Human Resources.
• SIE required provided that an exemption or grandfathering cannot be applied.
• Series 7 required.
• Series 63, 65 and/or 66 as required by state.
• Ability to obtain additional securities and advisory state registrations if required by state.