Brokerage Registered Client Service Associate

About the Role

Responsible for the general servicing and support of Financial Advisors. This includes administrative and operational support, business development assistance, and providing a consistent and effective level of client servicing when the Financial Advisor is unavailable.

Key Responsibilities

• Assist Financial Advisors in servicing clients including preparing financial plans, conducting investment research and completing client trades and transactions.
• Receive and place orders as directed from Financial Advisor and assigned clients. Reply to queries regarding general market information such as quotes and news, as well as trading and order features such as GTC expiration dates and settlement.
• Process corporate actions where a license is warranted, such as tender offers, optional dividends and the exercise of warrants and rights.
• Schedule and confirm client appointments, enter data in SalesForce, create meeting agendas and summaries, prepare/coordinate marking events and perform general administrative functions such as answer and return calls, manage the expense report process, prepare routine client correspondence and perform maintenance of client records.
• Manage the Financial Advisor's calendar to maximize appointment productivity by minimizing travel time and anticipating the time frame required for presentation and answering of questions.
• Maximize sales opportunities by contacting potential investment clients based on internal and bank leads. Use product and industry knowledge to identify existing client, account, and product attributes that present sales potential.
• Provide operational guidance to Financial Advisors ranging from systems navigation to document fulfillment.
• Ensure new business paperwork is accurately and successfully submitted, including preparing forms, obtaining signatures, submission and follow-up of new account documentation.
• Mitigate risk through appropriate authentication standards, including authentication of incoming and outgoing client calls. Perform authentication callbacks for high-risk transactions, such as third-party distributions, profile changes, and wires.
• Maintain a professional environment and create a positive impression.
• Submit and process operational requests as instructed, including: funds distributions, deposits of checks, journals, client and account updates, ACAT initiation, and other operational tasks.
• Work in coordination with the Financial Advisor to ensure reports are reviewed and addressed, such as insufficient funds for periodic distributions and RMDs not met.
• May assist with physical branch location needs, such as opening, closing, general requests for maintenance or service.

Requirements & Tech Stack

• Bachelor's degree or equivalent experience and related training.
• Experience in the securities industry and/or a sales assistant role.
• Knowledge of securities markets and brokerage accounts.
• Knowledge of the features and attributes of annuity products.
• FINRA SIE, Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses.
• Exceptional telephone skills and ability to appropriately interact with clients of all experience levels regarding securities transactions and brokerage accounts.
• Effective time management skills.
• Ability to communicate effectively and professionally with clients, managers, and teammates.
• Ability to evaluate, assimilate, and utilize detailed and complex written and verbal technical information.
• Ability to work in a self-directed fashion.
• Demonstrated proficiency in basic computer applications, such as Microsoft Office software products.

Preferred Qualifications

• Three years of experience in the securities industry.
• Previous sales and/or banking experience.
• Bachelor's degree in business, accounting, finance, banking or equivalent education and related training.
• Demonstrated experience in a call center or brokerage office environment, preferably focusing on outbound sales calls.

Annual Base Salary: $65,000 - $80,000