Client Associate or Registered Client Associate
About The Position
D.A. Davidson Companies is seeking an exceptional individual to join a dynamic, high-producing team in its Newport Beach, California office. This team-critical role calls for outstanding attention to detail, the ability to balance multiple requests, excellent client service, and integrity and confidentiality when handling client, financial advisor, branch, and company information. The associate supports financial advisors and clients by providing courteous service, maintaining and processing account information, assisting with financial plans and client communications, facilitating transfers and check requests, and entering investment orders. The position also provides administrative support and requires compliance with branch, firm, and regulatory policies and procedures. Candidates must have the required securities licenses or be able to obtain them.
Requirements
- Successful completion of the Securities Industry Essentials (SIE), FINRA General Securities Representative (Series 7), and Uniform Securities State Law (Series 66 or Series 63/65) exams, or the ability to obtain the required licenses.
- Significant knowledge of the securities industry, its operations, and products, including stocks, bonds, margin accounts, options, mutual funds, annuities, and insurance products.
- High school graduation.
- Solid technology skills, including Microsoft Word, Excel, and Outlook.
- Excellent written and verbal communication, problem-solving, and client service skills.
- Strong attention to detail and accuracy, including the ability to perform semi-advanced math.
- Ability to handle multiple demands and competing priorities in a deadline-oriented environment.
- Ability to maintain regular, predictable attendance and work overtime as needed.
Nice To Haves
- Post-secondary education or comparable work experience.
- Experience with Thomson ONE, Envestnet, CRM, or Money Guide Pro.
Responsibilities
- Provide professional and courteous customer service that supports client satisfaction, including explaining certain requirements in a regulatory environment.
- Follow all Branch, Firm, and Compliance policies, procedures, rules, and regulations.
- Review, maintain, and process account documents and information; inform the financial advisor of meaningful information and activities related to client accounts and transactions, including suspicious activity.
- Assist the financial advisor with comprehensive financial plans for current and prospective clients.
- Assist the financial advisor in developing and implementing periodic client mailings, communications, and events.
- Facilitate transfers of client funds or securities and issue checks upon request.
- Enter orders, including buy and sell stock and bond trades, sell stop orders, option and margin trades, and mutual funds.
- Provide administrative support, including handling phones, correspondence, appointments, filing, and other projects assigned by the financial advisor or Branch Manager.
- Complete other projects and duties as assigned.
Benefits
- Medical, dental, and vision benefits.
- Company 401(k) and ESOP contributions.
- Generous sick, vacation, and maternity/parental leave.
- Paid holidays.
- Professional development opportunities.
- Tuition reimbursement, with a $15,000 lifetime cap.
- Discounted personal insurance, including home, auto, and recreational vehicle insurance.
- Charitable gift-matching program.
- Davidson Day of Giving.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
High school or GED
