The Client Services Associate (NR) assists one or more Financial Advisors (FA) with the opening and maintenance of client accounts and records; performs a wide variety of administrative support duties, including but not limited to, data entry, preparing mailings, filing, answering the phone, obtaining approvals for FA communications and advertisements; provides overall customer service support to clients; and may enter trades as directed by the FA(s). Series 7 and Series 66 preferred but not required.
Perform clerical functions related to opening client accounts and ongoing account coding based on account features chosen by the client.
Work with the FA(s) and the client in obtaining the required documents based upon the type of account(s) established.
Organize and assist in the maintenance of complete client account and trade-related records for the FA(s) and certain required files for the branch office.
Perform operational or administrative functions for client related requests (i.e., check requests, wiring funds, address change, dividend information, etc.).
Upon request, provide quotes and other account-related information to assist clients (non-registered Client Service Associates may not volunteer quote or other stock information to clients).
Provide reports and other information to FA(s), as requested.
Identify situations that need to be brought to the attention of the FA(s) or escalated to the Branch Manager; including suspicious client and/or employee activity or behavior.
Perform various administrative duties (i.e., typing, filing, answer phones, mailing documents/letters, etc.) and other duties and projects as assigned by the FA and/or Branch Manager.
2 years general clerical experience required.
High school diploma required; college degree preferred.
Knowledge of administrative and clerical procedures and systems such as word processing, spread-sheet applications, managing files and records, and other office procedures and terminology.
General understanding of the investment brokerage industry and securities regulations.
Basic knowledge of investment products.
Basic understanding of operations system (i.e., forms and their purpose).
Ability to organize/prioritize
Practical problem solving
Strong focus on providing exemplary client service
Strong interpersonal skills
Strong communication skills (both written and verbal)
Excellent grammar and possess phone/office etiquette
Must be able to manage stress, meet strict deadlines under pressure, perform with a high degree of accuracy, and consistently provide excellent customer service.