Client Service Associate, Retail Wealth Mgmt

At Northland, our employees are the heart of our story—and we’re committed to their success! Please see below the details of this career opportunity and how it fits into our organization’s success.

Summary of the Job:

 

The Sales Assistant provides administrative and operational support for a group of Investment Executives. Responsibilities can include direct client contact, taking client’s orders and providing account and market information; maintaining files and preparing correspondence and documents for the Investment Executives and their clients.

About This Role:

 

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. 

 Sales Support

Creates a positive client experience through friendly and competent responses to client requests

Communicates effectively with IE in order to prioritize projects and organize the practice

Communicates and coordinates information between IE, clients and administration

Assists IE with developing new business through coordinating meetings and client events

Processes customer requests, transactions and orders – including opening/transferring accounts

Creates and maintains accurate lists for current or potential clients

B. Operational Support

Provides knowledge and system support to Investment Executives Ensures trades are correctly executed and ticketed in accordance to industry/office regulations, tracking commissions Files, maintains and mails documentation to the proper areas on a timely basis Maintains a high level of compliance standards at all times Solves operational problems or issues, including follow-up steps when necessary

C. Office Support

Answer phones Provides back-up support to the company Receptionist on a rotating basis. Provides market or account information to all clients or IE’s Operates office systems or machines – fax/copiers, mail machine, etc.

The Ideal Candidate for This Role:

 

The requirements listed below are representative of the knowledge, skill, and/or ability required in this job position.

Understands and complies with FINRA, SEC and all other Company required rules and regulations. Proficient in Microsoft Office, especially Excel and Word. Possesses outstanding organization skills and ability to multi-task deadlines in a quick manner. Demonstrates effective verbal and written communication skills. Demonstrates initiative, problem solving ability, adaptability and flexibility

IV.   MINIMUM EDUCATION AND EXPERIENCE

• Bachelor’s degree or equivalent experience
• A minimum of two years of related experience in the financial services industry
• Series SIE, 7 & 63 licenses required

V.  PHYSICAL DEMANDS 

The physical demands described herein are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

While performing all duties of this job position, the Registered Sales Assistant must be able to work at least 40 hours per week, and must be able to communicate with the public. He or she is regularly required to sit; stand, bend from the waist, write, operate the computer and all office equipment, use the phone; speak intelligibly; and hear.  This job position must also be able to occasionally lift and carry up to 20 lbs. 

Candidates must possess unrestricted work authorization and not require future sponsorship.

Work Environment:

It is anticipated that the incumbent in this role will work onsite at the posted location. Our onsite environment fosters innovation, mentorship, and a vibrant culture where ideas flow freely and relationships flourish. As part of our team, you'll experience the energy of our collaborative spaces designed to support your professional growth while working alongside talented colleagues who inspire excellence daily. Please note that work location is subject to change based on business needs.

Compensation and Benefits Overview:

We offer a variety of benefits designed to keep you and your family physically and financially healthy. Not only do we offer a competitive salary and work-life balance, we offer benefits to match your needs:

• Medical, Dental, Vision Insurance

• 401k, With Matching Contributions

• Time Off Programs

• Health Savings Account (HSA)/Dependent Care

• Employee Banking

• Growth Opportunities

• Tuition Assistance

• Short-Term/Long-Term Di