Registered Client Associate
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. Summary/Function We are currently seeking an exceptional individual to join a dynamic and high-producing team in our Seattle, WA office. This team-critical role requires outstanding attention to detail, the ability to balance multiple requests, outstanding client service skills, and a high level of integrity and confidentiality with respect to client, FA, branch and company information.
Requirements
- Successful completion of the (SIE) Securities Industry Essentials and FINRA General Securities Representative (Series 7) Exam and Uniform Securities State Law Exam (Series 66 [or Series 63/65]) or the ability to obtain licensing is required.
- Significant knowledge of the securities industry, its operations and products to include stocks, bonds, margin accounts, mutual funds, annuities and insurance products.
- Excellent communication (written and verbal), problem solving and client service skills.
- Strong attention to detail and accuracy including the ability to perform semi-advanced math.
- Proven ability to manage multiple demands and competing priorities in a deadline-oriented environment.
- Ability to maintain regular, predictable attendance and to work overtime as needed.
Nice To Haves
- Some previous experience as a Registered Client Associate is preferred.
- Post-Secondary education preferred.
- Solid technology skills (Microsoft Word, Excel and Outlook). Experience with Thomson ONE, Envestnet, CRM, Money Guide Pro preferred.
Responsibilities
- Provide exceptionally professional and courteous customer service supporting client satisfaction including effectively articulating certain requirements in a regulatory environment.
- Adherence to all Branch, Firm and Compliance policies, procedures, rules and regulations.
- Review, maintain and process account documents and information - Inform FA of meaningful information and activities related to client accounts and transactions including suspicious activity.
- Assist FA with primary daily operations focused on the team’s client service model.
- Assist FA 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.
- Enter orders to include buy/sell stock and bond trades, sell stop orders, and margin trades and mutual funds.
- Provide administrative support, including but not limited to phone, correspondence, appointments, filing and other projects as assigned by the FA and/or Branch Manager.
- Other projects and duties as assigned!
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.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
No Education Listed
Number of Employees
1,001-5,000 employees
