Client Associate

About the Role

D.A. Davidson Companies, an independent, employee-owned Financial Services firm with a history spanning 90 years, is seeking an exceptionally sharp, motivated, and detail-oriented Client Associate to join our Walla Walla, WA branch. In this team-critical role, you will work alongside Financial Professionals to provide excellent client service and support. This is an outstanding opportunity to advance your career in the financial services industry in an environment of continual growth and development.

Key Responsibilities

• Provide extraordinarily professional and courteous client service managing client requests, account maintenance, and effectively articulating certain requirements in a regulatory environment
• Review, maintain, and process account documents and information, as well as solve complex issues and assignments related to client accounts and transactions, including suspicious activity
• Assist with crafting comprehensive financial plans for current and prospective clients
• Assist in developing and implementing periodic client mailings, communications, and events
• Facilitate the transfer of client funds and/or securities and the issuance of checks upon request
• Seek to innovate and streamline processes
• Provide general support, including but not limited to phone, correspondence, appointments, filing, and other projects as assigned
• Adherence to all branch, firm, and compliance policies, procedures, rules, and regulations
• Other projects and duties as assigned

Requirements & Tech Stack

• Eager to advance and grow in the Financial Services Industry
• High school graduate. Post-secondary education, or comparable work experience preferred.
• Solid technology skills (Microsoft Word, Excel, and Outlook) and the desire to learn and leverage innovative technologies to optimize the client experience
• Proven ability to build client/customer relationships including excellent communication (written and verbal) and problem-solving skills
• Strong attention to detail and accuracy including the ability to accurately perform semi-advanced math
• Ability to successfully handle multiple demands and competing priorities in a deadline-oriented environment

Qualifications

• Opportunity to complete the Securities Industry Essentials (SIE) and FINRA General Securities Representative (Series 7) Exam and Uniform Securities State Law Exam (Series 66 [or Series 63/65])
• Microsoft Word
• Microsoft Excel
• Microsoft Outlook