Registered Client Associate

Position Summary:

The Client Assistant will provide administrative and operational support to Financial Advisor(s) and clients within the Broker-Dealer or Registered Investment Advisor (RIA). This role involves working directly with clients and assisting with the execution of financial transactions, preparation of investment proposals, account management, and maintaining compliance with industry regulations.

Primary Job Responsibilities:

• Serve as a liaison between client and FA to manage and service new and existing relationships
• Provide support during the sales process by coordinating paperwork, conducting research, and helping with the on-boarding of new clients
• Manage and track sales leads and opportunities and ensure timely follow-up
• Maintain and update client records, ensuring accuracy and compliance with regulatory requirements
• Prepare client account opening forms, transaction forms, and other required documentation
• Respond to client inquiries, address issues and provide updates on their investment portfolios
• Assist with the processing of client transactions (trades, transfers, withdrawals, etc.)
• Coordinate account transfers and new account openings
• Answer inbound phone calls and make outbound calls with updates on service requests
• Remain current on all policies, procedures and platforms
• Participate in firm initiatives (training, continuing education, etc.), complete special projects and/or other duties directed by management

Qualifications:

• High School Diploma
• College degree preferred
• Active Series 7 and Series 66 (Or Series 63 and Series 65)
• 2 or more years of previous industry experience
• Excellent analytic, presentation, evaluation, and critical thinking skills.
• Proficient with Microsoft Office Suite
• Experience with SmartStation, Envestnet, DocuWare, Box, Quest CE, etc.

Personal Qualities:

• Knowledge of financial services products, including but not limited to equities, bonds, options, mutual funds, annuities, insurance and managed accounts
• Capable of working well both independently and as a member of a team
• Strong time management skills
• Strategic-thinker, analytical, problem solver
• Superior organizational skills
• Excellent verbal, written and interpersonal communication skills.
• Meticulous and great attention to detail and accuracy
• Unquestionable integrity and ethical character