Summary
The Client Service Associate supports the Financial Advisor (FA) in the daily administration of their business by opening new accounts, preparing and processing investment documentation, and maintaining all related files and paperwork.
This position will interact with clients regularly regarding account maintenance and transactions.
Essential Duties & Responsibilities
- Support the daily administration of the Financial Advisor's business by opening new client accounts, preparing and processing account specific and investment related documentation, facilitating outgoing disbursements and incoming deposits of funds and securities, maintaining current and accurate client information.
- If registered with FINRA, accept, enter and confirm all types of solicited and unsolicited trade orders from clients or as directed by a Financial Advisor or other registered employee
- Develop and preserve client relationships by responding to all client inquiries and anticipating client needs; provide account and market information and relevant industry updates and company research.
- Maintain accurate and complete account and trade records / files as required by Firm policy and industry regulation.
- Understand and adhere to internal policies and industry regulations; proactively identify and escalate matters that require additional scrutiny including suspicious activity, customer complaints, trading errors, and violation of industry regulation or Firm policy.
- Complete administrative tasks including marketing campaigns, scheduling and coordinating client meetings and seminars, plan team travel and process various business expenses
- Contribute to and participate in branch wide initiatives and projects
Qualifications
- Knowledge of the financial markets including the analysis and reporting of financial data, and associated terminology.
- General understanding of securities regulations and principals.
- Strong demonstrated focus on providing exemplary client service; excellent intra-personal skills and proficiencies with written, verbal and non-verbal communication skills required
Education & Experience
- High school diploma or equivalent required. College degree preferred
- 2+ years of Financial / Securities industry experience preferred
- Series 7 and 66 preferred.
Systems & Technology
- Proficient in Microsoft Excel, Word, PowerPoint, Outlook
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