Registered Client Service Associate - Somers, NY

Job Description

Responsibilities:

• Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes and scheduling of meetings, with prospective and existing clients on the phone, in-person, virtually and through mailings.

• Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office.

• Onboards new clients, opens new client accounts and researches client and security information using internal databases and other technologies.

• Ensures key client information and documentation is current with firm and industry requirements, rules and regulations.

• Processes and monitors the transfer of assets to ensure all assets and cost basis were successfully received.

• Monitors available cash awaiting investment, including running weekly cash and cash equivalent reports and contacting clients with investment opportunities to maximize returns.

• Reviews, assesses and responds to all corporate action items and client account alerts.

• Prepares financial reports, spreadsheets and other materials for client meetings.

• Inputs orders and rebalances portfolios on behalf of the Financial Advisors.

• Creates and maintains records and files utilizing Client Relationship Management (CRM) software.

• Assists Financial Advisors with marketing efforts including seminars and other client-facing events.

• Actively engages in available training/cross-training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures.

• Performs other duties and responsibilities as assigned.

Skills:

• Company’s working structure, policies, mission, and strategies.

• Managed account platforms. 

• General office practices, procedures, and methods.

• Investment concepts, practices and procedures used in the securities industry.

• Financial markets, products and industry regulations.

• Trading terminology.

• Client Relationship Management (CRM) software, or similar contact management software.

• Goal planning software.

• Excel, including developing spreadsheets as needed and for ongoing reporting.

• Effective communication across multiple client interactive platforms (in-person, virtual, phone and mail)

• Operate standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

• Analyze and research account information.

• Organize, manage, and track multiple, detailed tasks and assignments with. frequently changing priorities and deadlines in a fast-paced, task-oriented work environment.

• Identify time sensitive items and assess competing priorities.

• Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns.

• Handle stressful situations and provide a high level of customer service in a calm and professional manner.

• Analyze problems and establish solutions in a fast paced environment.

• Use mathematics sufficient to process account and transaction information.

• Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels, in person and virtually.

• Work both independently and as part of a cohesive team.

• Provide a high level of customer service.

Education/Previous Experience

• High School Diploma or equivalent and one (1) or more years securities industry or related work experience preferred, or an equivalent combination of experience, education, and/or training as approved by Human Resources.

Licenses/Certifications

• SIE required provided that an exemption or grandfathering cannot be applied.

• Series 7 required.

• Series 63, 65 and/or 66 as required by state.

Education

High School (HS) (Required)

Work Experience

General Experience - 13 months to 3 years

Certifications

s63 - Uniform Securities Agent State Law Examination - Financial Industry Regulatory Authority (FINRA), s7 - General Securities Representative Examination - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Salary Range<