Senior Registered Client Service Associate (Hallandale Beach, FL)

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 in 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.

Qualifications

• 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).
• Ability To Operate standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
• Analyzes and researches account information.
• Organizes, manages, and tracks multiple, detailed tasks and assignments with. frequently changing priorities and deadlines in a fast-paced, task-oriented work environment.
• Identifies time sensitive items and assesses competing priorities.
• Takes initiative and proactively follows up on submitted items to ensure completion; resolves errors, questions or concerns.
• Handles stressful situations and provides a high level of customer service in a calm and professional manner.
• Analyzes problems and establishes solutions in a fast paced environment.
• Handles stressful situations and provides a high level of customer service.
• Uses mathematics sufficient to process account and transaction information.
• Uses appropriate interpersonal styles and communicates effectively, both orally and in writing, with all organizational levels, in person and virtually.

Education/Previous Experience

• 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.