Registered Client Service Associate

Overview

Provide exceptional client service and daily support to Financial Advisor(s) (FAs), Private Wealth Advisor(s) (PWAs) and their teams, building trusted client relationships through regular interactions.

What you'll do

• Provide service coverage for a FA/PWA/team, including supporting the cultivation and enhancement of new and existing client relationships.
• Execute money movement transactions at the request of the client and/or FA/PWA/team.
• Answer general non-investment related questions about client accounts, including relaying stock positions and providing account balances (e.g., funds due and margin debit).
• Enter profile information or pre-fill account documentation in a clerical capacity at the direction of the client and/or FA/PWA/team.
• Educate or enroll clients in digital tools (e.g., MSOnline, eSign, eAuthorization).
• Onboard and maintain client accounts, including collecting client information and required documentation in a clerical capacity at the direction of the client and/or FA/PWA/team.
• Provide existing clients with details about their account information (e.g., investment objectives, risk tolerance).
• Accept or enter unsolicited orders and/or enter solicited orders in a clerical capacity at the direction of the FA/PWA/team.
• Support the FAs'/PWAs'/teams' marketing strategy (e.g., website maintenance).
• Assist FAs/PWAs/teams in delivering against their business plan and client service model.
• Remain current on all policies, procedures, and new platforms.
• Participate in firm initiatives (e.g., training or education programs), special projects and other duties directed by local management.
• Answer inbound phone calls or make outbound calls with updates on service requests (e.g., scheduling follow-up calls with FAs/PWAs/teams as needed).
• Manage the calendar, including coordinating meetings or events with logistics such as material prep (e.g., maintaining agendas, sending calendar invites with Zoom credentials).
• Maintain travel itineraries, prepare expense reports and manage the reimbursement process.
• Assist with general in-office support functions such as copying, filing and scanning documentation.
• Prepare and submit expense reports for processing at the direction of the FA/PWA.

What you'll need

• High School Diploma/Equivalency.
• Active Series 7 (GS), and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA).
• Legally authorized to work in the United States, and must not require, now or in the future, sponsorship for employment visa status.
• Knowledge of financial services products, including but not limited to equities, bonds, options, mutual funds, annuities, insurance, and managed accounts.
• Detail oriented with superior organizational skills and ability to prioritize.
• Advanced Microsoft Office skills (Word, Excel, Outlook and PowerPoint).
• Exceptional writing, interpersonal and client service skills.
• Strong time management skills.
• Team player with the ability to collaborate with others.
• Ability to work in a fast-paced, evolving environment.
• Adaptable and ability to multitask.
• Goal oriented, self-motivated and results driven.

Nice to have

• College degree.
• Two or more years of industry experience.

Details

• Reports to: Business Service Officer.