Senior Registered Financial Client Associate
- Provide client service and support related to check requests, deposits, wiring funds, record-keeping and adjustments.
- Provide quotes and other account-related information to assist clients.
- Accept and enter orders from clients and/or on behalf of the Financial Advisor.
- Assist Financial Advisor(s) with opening new accounts and send required account and transaction documents to clients.
- Interacts daily on the phone and in person with clients handling basic inquiries and scheduling appointments.
- Research and resolve account problems, missing documents, etc. Identify errors and initiate corrective measures. Follow up and relay correct information to clients.
- Create, prepare and review daily client reports for Financial Advisor(s)
- Act as liaison between the branch and Home Office for various projects and issues, such as technology needs, outside vendors, branch procedures, etc.
- Assist Financial Advisor(s) with the prospecting of new clients through mailings and seminars.
- Maintain files in accordance with firm and regulatory guidelines.
- Perform various administrative tasks including but not limited to scanning and organizing documents, scheduling client meetings and calendar events, executing daily tasks and notification, preparing correspondence and assist with mailing and client requests.
- Perform administrative duties as required by the Financial Advisor(s) or branch manager.
- Provide backup support as required to other branch support personnel.
- Perform other related duties as assigned.
- Proficient experience with Microsoft Office Suite and ability to learn other software and technology. Experience with Pershing/NetX360, Salesforce, Orion and MoneyGuidePro is a plus.
- Professional presence with strong customer service and interpersonal skills experience.
- Detail oriented, excellent organizational skills and able to manage a variety of tasks.
- Ability to multi-task and work in a fast-paced, evolving environment; excellent time management skills.
- Excellent communicator across a wide variety of communication channels (in-person, phone and virtually).
- Ability to seek new ways to improve processes, suggest new ideas and approaches.
- Exercise discretion in handling confidential information.
- High School Diploma required; College degree preferred, or equivalent professional experience.
- 7+ years of prior client service experience within the financial industry, or equivalent experience, required.
- Securities licensing (Series 7 and 63/65 or 66) required.
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