Registered Client Service Associate

DUTIES and RESPONSIBILITIES:

CLIENT SUPPORT

Provide service coverage for a FA/PWA/team including:  

• Supporting the FA/PWA/team in cultivating and enhancing new and existing client relationships

• Executing money movement transactions at the request of the client and/or FA/PWA/team

• Answering general non-investment related questions concerning client accounts, including relaying stock positions, and providing account balances (e.g., funds due and margin debit)

• Enter profile information or pre-fill account documentation on client accounts and/or documents in aa clerical capacity at the direction of the client and/or FA/PWA/team

• Educating or enrolling clients in digital tools (e.g. MSOnline, eSign, eAuthorization)

• Onboard and maintain client accounts, including collecting client information and required documentation in a clerical capacity at the direction of the client and/or FA/PWA/team

• Provide existing clients with details around their account information (e.g., investment objectives, risk tolerance) 

• Accept or enter unsolicited orders and/or enter solicited orders in a clerical capacity at the direction of the FA/PWA/team

• Supporting the FAs / PWAs / teams’ marketing strategy (e.g., website maintenance) 

• Assist FAs / PWAs/ teams in delivering against their business plan and client service model

• Remaining current on all policies, procedures, and new platforms

•        Participating in firm initiatives (e.g., training or education programs), special projects and/or other duties directed by local management

ADMINISTRATIVE SUPPORT

•        Answering inbound phone calls or making outbound calls with updates on service requests (e.g., scheduling follow-up calls with FAs / PWAs / teams as needed) 

• Managing the calendar including coordinating meetings or events with logistics such as material prep (e.g., maintaining agendas, sending calendar invites with Zoom credentials) 

• Maintaining travel itineraries, preparing expense reports and managing the reimbursement process

• Assisting with general in-office support functions such as copying, filing and scanning documentation 

•        Preparing and submitting expense reports for processing at the direction of the FA/PWA

Qualifications - External

EDUCATION, EXPERIENCE, KNOWLEDGE, and SKILLS:

Education and/or Experience 

•        High School Diploma/Equivalency

• College degree preferred

• Active Series 7 (GS), and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA)

•        Two or more years of industry experience preferred

Knowledge/Skills

•        Knowledge of financial services products, including but not limited to equities, bonds, options, mutual funds, annuities, insurance, and managed accounts

• Detail orientated with superior organizational skills and ability to prioritize 

• Advanced Microsoft Office skills (Word, Excel, Outlook and PowerPoint)

• Exceptional writing, interpersonal and client service skills

• Strong time management skills

• Team player with the ability to collaborate with others

• Ability to work in a fast-paced, evolving environment

• Adaptable and ability to multitask

•        Goal oriented, self-motivated and results driven

Reports To:

• Business Service Officer