Registered Client Services Associate I

Job Title: Registered Client Services Associate I

Reports To: Financial Advisor(s) or Advisory Services Operations Manager

Direct Reports: N/A

Salary Grade: 5

SUMMARY

This position is responsible for partnering with one or more investment advisors to grow the business, increase sales, maintain, and facilitate ongoing client support, answer inquiries, research and resolve client service issues.

EDUCATION AND EXPERIENCE REQUIREMENTS

• Bachelor's degree or equivalent experience and related training.

• Experience in the securities industry and/or a sales assistant role.

• Knowledge of securities markets and brokerage accounts.

• Knowledge of the features and attributes of annuity products.

• Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses. (Candidates that are unlicensed will be considered and must pass the exams within 6 months of hire)

• Exceptional telephone skills and the ability to appropriately interact with clients of all experience levels regarding securities transactions and brokerage accounts.

• Effective time management skills.

• Ability to communicate effectively and professionally with clients, managers, and other teammates.

• Ability to evaluate, assimilate and utilize detailed and complex written and verbal technical information.

• Ability to work in a self-directed fashion.

• Demonstrated proficiency in basic computer applications, such as Microsoft Office software products.

• Participate in all required compliance training, including Bank Secrecy Act/anti-money laundering training, as well as internal and external training programs, online training, meetings, and seminars/conferences, etc.

JOB FUNCTIONS

• Partner with one or more investment advisors to grow the business, increase sales, maintain, and facilitate ongoing client support, answer inquiries, research and resolve client service issues

• Manage all aspects of client service, communication, issue resolution, and back office processing

• Assist in preparation for client and prospect meetings

• Maintain an office that meets all relevant regulatory compliance requirements

• Coordinate and implement seminars, sales campaigns, and branch trainings

• Establish all brokerage accounts, including all necessary documents required to open a brokerage account

• Resolve account problems

• Other duties as assigned

SUPERVISORY RESPONSIBILITY

This position does not manage employees

WORK ENVIRONMENT

United location within footprint

POSITION TYPE

This is a full-time position that requires schedule flexibility to work evenings and weekends as needed.

TRAVEL

This position requires up to 10% travel.

OTHER

We are an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, color, sex, age, national origin, religion, sexual orientation, gender identity and/or expression, status as a veteran, and basis of disability or any other federal, state or local protected class.

Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

The job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee. Other duties, responsibilities and activities may change or be assigned at any time with or without notice.