Registered Client Associate
About The Position
The Simmons Group is a financial advisory practice that works as advocates for high net-worth clients and their families. As a team, we work collaboratively and strive to exceed our clients’ expectations. The Simmons Group is seeking a Registered Client Associate to join our independent and seasoned financial advisory group. The ideal candidate will be an energetic professional who cares about the quality of their work, enjoys working in collaboration within a team, and offers strong listening and communication skills. To be successful in the Registered Client Associate role, candidates must be detail oriented, organized, and have exceptional customer service skills. This position will work on-site full-time in our Seattle office. At The Simmons Group, we believe that each of our associate’s interest in personal and professional development is critical to our ongoing and continued success. This opportunity provides excellent potential for career advancement within our team.
Requirements
- Bachelor’s or associate’s degree
- 2+ years of experience in wealth management
- 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
- Ability to multi-task and manage competing demands; proven organizational and prioritizing abilities
- Self-motivated with the ability to work independently and in collaboration with the firm’s leadership, team, and peers
- Dependable, trustworthy, and dedicated
- Maintain a professional appearance, address clients in a friendly, sincere, and professional manner
- Detail oriented and demonstrates a commitment to accuracy, confidentiality, and delivers high quality work consistently
Responsibilities
- Serve as a primary point of contact for client service requests
- Open new accounts and process account maintenance, transfers, and money movement requests.
- Prepare and submit account paperwork and ensure documentation is complete and accurate
- Prepare client deliverables and meeting materials as needed
- Maintain client records and update information within CRM systems
- Ensure compliance with firm policies and regulations
Benefits
- Medical, Dental and Vision plans
- Health Savings Account (HSA)
- Short Term Disability plan (STD)
- Long Term Disability plan (LTD)
- Employee Assistance Program (EAP)
- Flexible Spending Account (FSA)
- 401k Retirement Plan
- Commuter Benefit
- Paid Time Off
- Paid Holidays
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
Associate degree
