Registered Client Associate

Raymond James•Fort Myers, FL

About The Position

Uhler Vertich White Advisors is a highly successful, comprehensive financial planning practice. Our Registered Client Service Associate plays a critical role in the operations and communications in the office and is on the front lines of the client experience. This position requires significant knowledge of our industry, superb critical thinking skills, an ability to effectively manage multiple projects, and the wisdom to manage oneself in a team-oriented environment.

Requirements

Knowledge of Company’s working structure, policies, mission, and strategies
General office practices, procedures, and methods
Basic investment concepts, practices and procedures used in the securities industry
Financial markets, products and industry regulations
Skill in Client Relationship Management (CRM) software
Microsoft Office
Effective communication (in-person, virtual, phone and mail)
Ability to Operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases
Analyze and research account information
Organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment
Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns
Provide a high level of customer service in a calm and professional manner
Use mathematics sufficient to process account and transaction information
Use appropriate interpersonal styles and communicate effectively
Work both independently and as part of a team
Provide a high level of customer service
7 & 66 licenses
Bachelor’s degree preferred OR equivalent industry experience
Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)
General Experience - 7 to 12 months

Nice To Haves

Familiarity with tax, trust, and estate planning preferred

Responsibilities

Service daily client inquiries over the phone, online, and in-person, including scheduling meetings, managing calendars, and greeting clients
Work both independently and within a dynamic team environment to provide administrative support to the financial advisors and branch office
Open new client accounts, process money movement, and research information as needed
Ensure client paperwork and documentation is accurate prior to submission and processing
Follow up to ensure accurate completion
Prepare various business summary reports and client-specific reporting as needed for review by the financial advisor
Create and maintain records and files utilizing Client Relationship Management (CRM) software
Assist with compliance documentation and recordkeeping
Coordinate mailings and gifting
Actively engage in available training/cross-training and educational and/or professional development opportunities to remain current on industry policies and procedures
Performs other duties and responsibilities as assigned