Brokerage Registered Client Service Associate

Role Overview

• Assist Financial Advisors in servicing clients including preparing financial plans
• Receive and place orders as directed from Financial Advisor
• Process corporate actions and manage financial advisor's calendar
• Establish and maintain administrative functions such as answering calls and performing maintenance of client records
• Maximize sales opportunities and provide operational guidance to Financial Advisors
• Ensure new business paperwork is accurately submitted and mitigate risk through appropriate authentication standards
• Submit and process operational requests and assist with branch location needs

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
• FINRA SIE, Series 7 and Series 66 licenses (at least 1 required)
• Exceptional telephone skills
• Effective time management skills
• Ability to communicate effectively and professionally
• Ability to evaluate and utilize detailed technical information
• Ability to work in a self-directed fashion
• Proficiency in basic computer applications (e.g., Microsoft Office)

Benefits

• Medical, dental, vision, life insurance
• Disability and accidental death and dismemberment insurance
• Tax-preferred savings accounts
• 401k plan
• Vacation days (10 days total)
• Sick days (10 days total)
• Paid holidays
• Defined benefit pension plan (may be eligible)
• Restricted stock units (may be eligible)
• Deferred compensation plan (may be eligible)