POSITION SUMMARY : The Registered Associate enhances the client experience by providing exceptional client service, supporting Branch functions as needed, assisting in safeguarding client assets, and serving as administrative and operational support to Financial Advisors.
The Registered Associate is responsible for understanding firm policies, procedures and digital capabilities that will allow them to interact with Financial Advisor teams as well as new and existing clients.
In order to perform daily business activities, the Registered Associate is required to have active Series 7 and 66 (or 63 and 65) Licenses.
DUTIES and RESPONSIBILITIES :
Maintain existing client relationships through the processing of client requests, resolving client inquiries, and making sure key client information and documentation is up to date
Conduct outreach to maintain strong relationships with client base and identify Firm services and solutions, such as digital, online access and cash management offerings, that support clients’ needs
Onboard new client accounts, which includes the collection of required documentation and client information
Support the team’s marketing strategy by maintaining marketing materials, including digital and social media platforms, and planning client events and seminars
Prepare financial reports, spreadsheets, and other materials for client meetings
Regularly seek opportunities to use firm resources for peer sharing and collaborating with Financial Advisors
Proactively participate in firm initiatives directed by local management
Actively engage in available training and education programs to maintain current status on policies, procedures and risk awareness
Input orders on behalf of Financial Advisor
Perform administrative duties that support Financial Advisors in daily business practices, including but not limited to, telephone coverage, business travel arrangements, coordination of client meetings, prepare travel & expense reports, and file & calendar maintenance
EDUCATION, EXPERIENCE, KNOWLEDGE, and SKILLS :
Education and / or Experience
Active Series 7, 63 and 65 or Series 7 and 66
Two or more years of industry experience preferred
High School Diploma / Equivalency
College degree preferred
Knowledge / Skills
Strong industry, product, and branch procedures knowledge
Detail oriented with superior organizational skills and ability to prioritize tasks
Exceptional writing, interpersonal and client service skills
Strong computer skills and knowledge of Microsoft Office products
Team player with the ability to collaborate with others
Ability to work in a fast-paced, evolving environment
Reports To :
Complex Business Service Officer or Business Service Manager
EOE committed to diversifying its workforce.
M / F / D / V