Client Associate I

Tri Counties Bank•Roseville, CA

14h•Onsite

About The Position

The Client Service Associate I role is to support one or more Financial Advisors with the establishment, servicing and maintenance of investment accounts. The Client Service Associate will have a daily and active role in client retention and growth through excellent customer service that is provided via phone, mail, electronically and face to face. The Client Service Associate will also be responsible for maintaining client and branch compliance files that are audited on an annual basis.

Requirements

High school diploma or GED required
3+ years of office experience required
Excellent verbal and written communication skills
Detailed oriented with excellent organizational & time management skills
Excellent client service orientation
Ability to handle multiple tasks & operate on tight deadlines
Ability to perform repetitive functions

Responsibilities

Initiates outbound calls to clients and prospects regarding transaction processing/requirements, clarification or appointment scheduling
Opens, closes and maintain investment accounts per RJFS guidelines
Deposits checks, and distributes cash from various investment accounts
Prepares forms to establish investment accounts, move funds between investments and close investment accounts.
Enter trades orders that have been confirmed by a Registered Representative
Follow up on the completion of transactions and documents sent to clients and carriers. Resolve any delays that may occur in the process.
Maintains online compliance required linking for client trading discounts
Ensures all client fees have been collected
Completes outgoing correspondence on behalf of Registered Representative either by print or email.
Process incoming and outgoing mail for the Financial Advisor
Maintains all information relating to customer accounts and bank affairs in strictest confidence
Schedule new and service appointments for their Financial Advisors.
Participate in client meetings to make sure paperwork is signed and completed thoroughly with the FA.
Organize client appreciation events to include invitations, venue selection, food and beverage, confirmations, and post event follow up.
Maintains a current understanding of Bank policies and procedures in compliance with all federal and state laws, including but not limited to Bank Secrecy Act (SARs, CIP, OFAC), Information Security (GLBA), Identity Theft Red Flags, Financial Elder Abuse Reporting, and any other applicable regulations that may be specific to your job duties.
Has an understanding of investment products and how they work.
Performs other work-related duties as assigned.