Client Associate

About the Role

D.A. Davidson Companies is seeking an exceptionally sharp, motivated, and detail-oriented Client Associate to join their team. This role is team-critical and involves working alongside Financial Professionals to provide outstanding client service and support. It is an opportunity to advance a career in the financial services industry within 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, and 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

• Solid technology skills in Microsoft Word, Excel, and Outlook.
• Desire to learn and leverage innovative technologies to optimize the client experience.

Qualifications

• Eager to advance and grow in the Financial Services Industry.
• Opportunity to complete the Securities Industry Essentials (SIE), FINRA General Securities Representative (Series 7) Exam, and Uniform Securities State Law Exam (Series 66 [or Series 63/65]).
• High school graduate or comparable work experience. Post-secondary education preferred.
• 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.