Client Associate II

Simmons Bank Dallas , TX 75201

Posted 2 months ago

It's fun to work in a company where people truly BELIEVE in what they're doing!

We're committed to bringing passion and customer focus to the business.

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.

  • Skills

  • 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

  • Time Management

  • Attention to detail

Education and/or Experience

  • HS Diploma/GED

  • 1 year experience as registered associate preferred and

  • Series 7 and 63 license

  • Degree Preferred

  • Computer Skills

  • Proficient in Microsoft Office

  • Adobe Acrobat

  • 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.

icon no score

See how you match
to the job

Find your dream job anywhere
with the LiveCareer app.
Mobile App Icon
Download the
LiveCareer app and find
your dream job anywhere
App Store Icon Google Play Icon

Boost your job search productivity with our
free Chrome Extension!

lc_apply_tool GET EXTENSION

Similar Jobs

Want to see jobs matched to your resume? Upload One Now! Remove
Client Implementation Associate

Employer Direct Healthcare

Posted 1 week ago

VIEW JOBS 10/15/2021 12:00:00 AM 2022-01-13T00:00 <p>This position will provide client implementation support within the Operations group across the team’s various goals, initiatives, projects, and day to day functions. Key responsibilities will be assisting in client implementations, monitoring and maintenance of third-party integrations, development of scalable processes, ensuring adherence to operational standards, and helping enhance our operational framework and documentation. The successful associate will have a strong sense of urgency and ownership to drive projects to completion and be successful in a collaborative environment. Communication skills are critical, as well as the ability to quantify and manage all aspects of a project, balancing all key stakeholder’s needs.</p> <strong>Responsibilities and Duties</strong> <p>General:</p> <ul> <li>Identify opportunities for innovation, efficiency, and consistency within department and cross-functionally as appropriate. </li> <li>Collaborate cross-functionally with different departments in support of successful implementation execution. </li> <li>Provide regular input to the Sr. Manager, Client Implementations on process improvements and best practices.</li> <li>Support development of key Operational improvement projects and initiatives. </li> <li>Implementation Hub – Clients: status aggregation, guidance, tracking, and communication. Internal &amp; external resource for the implementation process. </li> <li>Facilitate internal &amp; external meetings and presentations to provide status updates and make decisions relative to client setup.</li> <li>Become a subject matter expert on reporting and integrations for client implementations. Be a first point of contact for operations escalations in this area. </li> <li>Process documentation – document stakeholders, purpose, systems, data &amp; procedural dependencies, inputs &amp; outputs, and process flows.</li> <li>Develop external documents and guides. </li> <li>Project and Change Management: confirm all requirements are gathered, established processes are followed, track workstreams from set up to completion. </li> <li>Monitor and Support: monitor performance and accuracy of active integrations and reporting. Investigate issues, provide solutions, and ensure changes resolves existing issues. </li> <li>Maintain inventory of integrations and reporting.</li> <li>Develop and maintain external facing EDH documents and guides. </li> </ul> <p>Client Implementations:</p> <p>Third Party Integrations / Reporting:</p><p><strong>Requirements</strong></p><ul> <li>Bachelor’s degree required</li> <li>Demonstrated ability to collaborate across multiple departments and manage the needs of various key stakeholders</li> <li>3-5 year's experience in project management life cycle</li> <li>Ability to perform successfully in a high-pressure, fast-paced working environment</li> <li>Excellent problem solving and decision-making skills</li> <li>Solid organizational skills, including attention to detail and ability to multi-task</li> <li>Excellent verbal and written communication skills</li> <li>Proficient in MS Office suite. Excel proficiency strongly desired </li> </ul><p><strong>Key Competencies </strong></p><ul> <li>Critical thinking with problem solving skills</li> <li>Communication skills including<ul> <li>Customer-Service skills</li> <li>Writing skills</li> <li>Listening skills</li> <li>Speaking skills</li> </ul> </li> <li>Decision making </li> <li>Teamwork </li> <li>Adaptability </li> <li>Business acumen</li> </ul><p><strong>Benefits</strong></p><ul> <li>Medical Insurance</li> <li>Dental Insurance </li> <li>Vision Insurance </li> <li>Short &amp; Long Term Disability </li> <li>Life Insurance</li> <li> 401k with company match </li> <li>Paid Time Off</li> <li>Paid Parental Leave</li> </ul> Employer Direct Healthcare Dallas TX

Client Associate II

Simmons Bank