Wealth: Registered Client Service Associate

With offices coast to coast, B. Riley Wealth is a leading private wealth and investment management platform that provides comprehensive, collaborative financial solutions to individuals and families, businesses and institutions, non-profits, trusts, foundations, and endowments. Securities and variable insurance products are offered through B. Riley Wealth Management; fee-based asset management and advisory services are offered through B. Riley Wealth Advisors; insurance products, including fixed annuities (but not variable products) are offered through B. Riley Wealth Insurance Corporation; and tax preparation and accounting services are offered through B. Riley Wealth Tax Services. For more information, visit www.brileywealth.com.

B. Riley Wealth is a subsidiary of B. Riley Financial (Nasdaq: RILY), a diversified business advisory and financial services platform. B. Riley refers to B. Riley Financial, Inc. and/or one or more of its subsidiaries or affiliates.

We are seeking a full-time Registered Client Service Associate with a minimum of 2 years of industry experience. The expected base salary range for this position is $50,000 - $65,000.

The successful candidate will demonstrate the ability to work independently to organize, prioritize, and complete tasks, provide administrative and sales support to BRW Financial Advisors through clerical and account-related duties including the flow of correspondence, and communicate daily with clients providing routine securities information and executing trades as directed by clients and BRW Financial Advisors.

Duties of this position include, but are not limited to the following:

• Act as liaison between Financial Advisors and internal departments (Compliance, Operations, and Administration).

• Responsible for client money transfers, check request, necessary per communication with clients.

• Provide administrative support to Financial Advisors by processing new account applications, obtaining necessary documents, resolving inquiries, and handling account transfers.

• Research and resolve late payments, overdraft items, pending service inquiries, and communicates resolution as appropriate.

• Prepare various types of correspondence using Word, Excel, and other necessary software.

• Interact maturely and effectively with Financial Advisors, clients, and internal contacts.

• Receive incoming calls, handling requests, and directing communication to appropriate parties.

• Provide clients with routine securities information and execute trades as directed by clients and Financial Advisors.

• Perform other duties as assigned.

Education, Experience and Skills Required:

• Bachelor's degree in Finance or equivalent combination of education and experience highly preferred.

• Securities Industry Essentials (SIE), Series 7 and Series 63 or 66 required.

• Two years of related brokerage industry experience.

• Proficient in MS Word, Excel and Power Point.

• Strong verbal and written communication skills.

B. Riley Financial, Inc. employees enjoy competitive salaries, access to our 401(k) profit sharing retirement plan and our other benefits including paid holidays, vacation, and sick leave, voluntary group medical, dental, and vision insurance, and company paid life and disability coverage.

Other details

• Pay Type Salary

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• Lake Ronkonkoma, NY, USA