Client Associate

D.A. Davidson • Omaha, NE

28d

About The Position

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning more than 80 years. We are dedicated to conducting our business in accordance with the highest standards of integrity and ethics, and delivering outstanding service to our clients and each other. We support a friendly, open and supportive culture, and encourage candid communication and productive engagement that make our companies and each of us better. Just as we work to improve our clients’ financial well-being, we also work to strengthen local communities—and giving back is one of our core values. You can learn more about our company culture and impact in our latest annual report. D.A. Davidson, an employee-owned Financial Services firm, is seeking an exceptionally sharp, motivated and detail-oriented Client Associate to join our Omaha, NE branch. In this critical role, you will work with a Team of Financial Professionals to provide excellent client service and support. You will also provide essential support to the Team’s financial advisers, assisting with their investment research, preparing client reports, and maintaining accurate account records. This is an outstanding opportunity to advance your career in the financial services industry in an environment of continual growth and development. Do you have a unique desire to work with advisers and support them with their investment research and due diligence processes? Do you thrive in a collaborative team environment? Do you excel at building strong relationships and solving problems? Are you detail-oriented and committed to accuracy? Are you able to prioritize tasks and be responsible for multiple demands in a deadline-oriented environment? Do you have a desire to proactively learn and leverage innovative technology tools? Are you proficient with Microsoft Excel? If you answer yes to these questions, then this job may be a great fit for you.

Requirements

• Proven ability to build Team relationships including excellent communication (written and verbal) and problem-solving skills.
• Ability to successfully handle multiple demands and competing priorities in a deadline-oriented environment. Understanding that strong follow-up skills are an expectation.
• Strong attention to detail and accuracy, including the ability to accurately perform semi-advanced math.
• Interest in the investment process.
• Preference given to candidates with these current licenses: the Securities Industry Essentials (SIE) and FINRA General Securities Representative (Series 7) Exam and Uniform Securities State Law Exam (Series 66 [or Series 63/65]). If not licensed, requirement to pass all tests for the Series 7 and 66 (or 63/65) licenses within 6 months of hire.
• High school graduate or comparable work experience. Post-secondary education preferred.
• Proficiency with Microsoft Excel and solid skills with Word and Outlook, as well as the desire to learn and leverage innovative technologies to optimize client experience and support adviser investment research.

Responsibilities

• Provide extraordinarily professional and courteous client service managing client requests, account maintenance and effectively articulating certain requirements in a regulatory environment.
• Review, maintain and process account documents and information as well as solve complex issues and assignments related to client accounts and transactions.
• Reconcile and prepare monthly and quarterly materials that will be shared in client facing meetings.
• Lead your Team’s monthly and quarterly internal investment research report preparation process.
• Utilize Excel extensively on various investment analysis and client account reconciliation projects.
• Assist in developing and implementing periodic client mailings, communications and events.
• Facilitate the transfer of client funds and/or securities and the issuance of checks upon request.
• Interacting with our internal and external back-office partners to ensure that work is progressing smoothly.
• Seek to innovate and streamline processes.
• Provide general support, including but not limited to phone, correspondence, appointments, research and other projects as assigned.
• Adherence to all branch, firm and compliance policies, procedures, rules and regulations.

Benefits

• Medical, Dental and Vision
• Company 401(k)and ESOP contribution
• Generous sick, vacation, and maternity/parental leave
• Paid holidays
• Professional Development Opportunities
• Tuition Reimbursement ($15,000 lifetime cap)
• Discounted personal insurance including home, auto and recreational vehicles
• Charitable gift-matching program
• Davidson Day of Giving – Our tradition of positively impacting communities in which we live and work.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: High school or GED