Registered Client Service Associate

Registered Client Service Associate

Requirements

• Administrative Knowledge – Knowledge of administrative and clerical procedures and systems such as word processing, spread-sheet applications, managing files and records, and other office procedures and terminology.
• Industry Knowledge – General understanding of the investment brokerage industry and securities regulations with basic knowledge of investment products.
• Time Management – Able to organize, prioritize and manage multiple tasks, responsibilities and deadlines; is able to follow through and accomplish goals, manage expectations appropriately and use firm’s resources efficiently.
• Critical Thinking – Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to practical problem solving.
• Customer and Interpersonal Skills – Knowledge of principles and processes for providing exemplary customer and personal services. This includes customer needs assessment, meeting quality standards for services, and evaluation of customer satisfaction.
• Communication Skills – The ability to communicate information and ideas in spoken or written form so that others will understand with excellent grammar and phone/office etiquette.
• Minimum Required: High School Diploma or equivalent
• Minimum Required: 2 years investment industry experience
• Minimum Required: Series 7 and 63 or 66
• Proficient in Microsoft Office Suite

Responsibilities

• Perform clerical functions related to opening client accounts and ongoing account coding based on account features chosen by the client.
• Work with the FA(s) and the client in obtaining the required documents based upon the type of account(s) established.
• Provide quotes and other account-related information to assist clients.
• Organize and assist in the maintenance of complete client account and trade-related records for the FA(s) and certain required files for the branch office.
• Perform operational or administrative functions for client related requests (i.e., check requests, wiring funds, address change, dividend information, etc.).
• Provide reports and other information to FA(s), as requested.
• Perform calling activities, not limited to existing clients, using scripts approved by a principal of Advertising and Graphics. Registered Client Service Associates may highlight a service or product but may not discuss products or investments beyond a point that the discussion becomes a solicitation where the specific appropriateness of the investment or the suitability of the client becomes a factor.
• Accept and enter unsolicited orders from clients in states in which they are registered and may enter orders received directly from a FA who is registered in the client’s state of residence.
• Identify situations that need to be brought to the attention of the FA(s) or escalated to the Branch Manager; including suspicious client and/or employee activity or behavior.
• Perform various administrative duties (i.e., typing, filing, answer phones, mailing documents/letters, etc.) and other duties and projects as assigned by the FA and/or Branch Manager.

Preferred Qualifications

No preferred qualifications provided.