Registered Client Associate

Job Description Summary

Clients are our main priority at Malison Financial Group. We work hard as a team, and we are proud to make a difference in our clients’ lives. As we continue to grow, we are adding a Registered Client Associate to our team. We are seeking a client-focused, reliable team player who shares our values.

Job Description

Essential Duties and Responsibilities

• Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes, scheduling of meetings with prospective and existing clients

• Works both independently and within a 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

Knowledge, Skills, and Abilities

Knowledge of

• 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

Skill in

• 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)

Ability to

• 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

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 - 7 to 12 months

Certifications

Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Travel

Less than 25%

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