Registered Client Service Associate

Key Responsibilities

• Serves as the first point of contact for a high volume of daily interactions, including basic inquiries, providing quotes, and scheduling meetings with prospective and existing clients via phone, in-person, virtual channels, and mail.
• Works both independently and within a dynamic team environment to provide crucial support to financial advisors and the branch office.
• 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 are current with firm and industry requirements, rules, and regulations.
• Processes and monitors the transfer of assets to confirm successful receipt of all assets and cost basis.
• Monitors available cash awaiting investment, including running weekly cash and cash equivalent reports and contacting clients with investment opportunities to maximize returns.
• Reviews, assesses, and responds to all corporate action items and client account alerts.
• Prepares financial reports, spreadsheets, and other materials for client meetings.
• Inputs orders and rebalances portfolios on behalf of Financial Advisors.
• Creates and maintains records and files utilizing Client Relationship Management (CRM) software.
• Assists Financial Advisors with marketing efforts, including seminars and other client-facing events.
• Actively engages in available training/cross-training and educational/professional development opportunities to remain current on firm and industry policies and procedures.
• Performs other duties and responsibilities as assigned.

Requirements & Tech Stack

• Effective communication skills across multiple platforms (phone, email, in-person, virtual).
• Ability to organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment.
• Client Relationship Management (CRM) software, or similar contact management software.
• Goal planning software.
• Excel, including developing spreadsheets as needed and for ongoing reporting.
• Ability to operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
• Ability to analyze and research account information.
• Ability to identify time-sensitive items and assess competing priorities.
• Ability to take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions, or concerns.
• Ability to handle stressful situations and provide a high level of customer service in a calm and professional manner.
• Ability to analyze problems and establish solutions in a fast-paced environment.
• Ability to use mathematics sufficient to process account and transaction information.
• Ability to use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels, in person and virtually.
• Ability to work both independently and as part of a cohesive team.
• Ability to provide a high level of customer service.

Qualifications

• High School Diploma or equivalent.
• One (1) or more years securities industry or related work experience preferred, or an equivalent combination of experience, education, and/or training as approved by Human Resources.
• SIE (Securities Industry Essentials Exam) required, provided that an exemption or grandfathering cannot be applied.
• Series 7 (General Securities Representative Examination) required.
• Series 63, 65 and/or 66 (Uniform Combined State Law Examination) as required by state.

Travel: Less than 25%

Workstyle: Resident