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The Client Associate II supports two or more Financial Advisors and works to develop a partnership with their respective advisors to provide high quality customer service and achieve stated revenue and asset goals. This may require extended hours and travel to respective advisors office location for support. Series 7 and 63 licensed. This position is eligible for performance based, commission sharing at the discretion of the Financial Advisor.
Essential Duties and Responsibilities
Pre-appointment preparation for Financial Advisors
Post-appointment follow up/document processing for Financial Advisors.
Review all paperwork for accuracy, completeness and compliance.
Resolves paperwork and account issues with back office operations and clearing firm.
Client service duties such as establishing new accounts, servicing existing accounts, and researching and resolving deficiencies in a timely manner.
Answer incoming calls for Financial Advisors.
Schedule appointments for Financial Advisors
Preparing, editing and obtaining appropriate compliance approval on correspondence.
Enter trades for clients as directed, including self-directed accounts.
Offers flexibility to the advisors they support by having the ability to act independently in response to client calls.
Gather all materials as requested by the Financial Advisor for meetings and sales representations.
Responsible for adhering to policies and procedures related to regulatory compliance requirements and firm requirements.
Process check and security receipts.
Process Annuity and 1035 exchange paperwork.
Maintain and update CRM as needed.
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required.
Solid knowledge of Retirement accounts and regulations.
Knowledge of banking and investment products required.
Ability to read and interpret documents such as procedure manuals, general business correspondence, and/or journals, or government regulations.
Excellent time management skills with the ability to prioritize
Excellent written and verbal communication skills
Attention to detail
Education and/or Experience
1 year experience as registered associate preferred and
Series 7 and 63 license
Proficient in Microsoft Office
Certificates, Licenses, Registrations
Series 7 and 63 licensed.
Other Qualifications (including physical requirements)
Ability to handle a high-stress environment.
Must display professional conduct and appearance.
Maintain client privacy and keep highly sensitive data confidential.
Must have excellent PC knowledge-proficiency with MS Office programs such as Excel and Word.
Equal Employment Opportunity Information: Simmons First National Corporation and its subsidiaries are committed to a policy of equal employment with respect to a person's race, color, religion, sex, ancestry, sexual orientation, gender identity, national origin, covered veterans, military status, physical or mental disability or any other legally protected classifications. Simmons First National Corporation and its subsidiaries are committed to Affirmative Action Programs consisting of results-oriented procedures to ensure equal employment opportunities. These programs require positive action in lieu of neutral non-discrimination and merit hiring/performance policies.