Client Associate or Registered Client Associate

D.A. Davidson•Newport Beach, CA

12h•Onsite

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 a high level of integrity and confidentiality when handling client, financial advisor, branch, and company information. The Client Associate or Registered Client Associate provides courteous and professional service to clients, supports financial advisors with account servicing and financial planning, and handles administrative and transaction-related work. The position requires compliance with firm policies and securities regulations, as well as the ability to manage competing priorities in a deadline-oriented environment. Regular, predictable attendance is required, and overtime may be needed. The stated potential base pay hiring range is $26.00 to $32.00 per hour. Compensation is determined case by case based on factors that include skills, relevant work experience, and geographic location.

Requirements

Successful completion of the Securities Industry Essentials (SIE), FINRA General Securities Representative (Series 7), and Uniform Securities State Law Exam (Series 66 or Series 63/65), 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 graduate.
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.
High level of integrity and ability to maintain confidentiality regarding client, financial advisor, branch, and company information.

Nice To Haves

Post-secondary education or comparable work experience.
Experience with Thomson ONE, Envestnet, CRM, and Money Guide Pro.

Responsibilities

Provide professional and courteous customer service that supports client satisfaction, including explaining certain requirements in a regulatory environment.
Adhere to 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 and/or securities and issue checks upon request.
Enter orders, including buy and sell stock and bond trades, sell stop orders, options and margin trades, and mutual fund orders.
Provide administrative support, including handling phones, correspondence, appointments, filing, and other projects assigned by the financial advisor and/or Branch Manager.
Perform other projects and duties as assigned.