Registered Client Service Associate

Stifel•Haddonfield, NJ

6d•$41,000 - $60,000

About The Position

Under immediate supervision, the Registered Client Service Associate assists one or more Financial Advisors with opening and maintaining client accounts and records, performs administrative support, and provides customer service to clients. The role may include entering trades as directed by Financial Advisors. It also supports account-related requests, maintains required records, provides account information, and escalates matters requiring attention to a Financial Advisor or Branch Manager. The associate may accept and enter unsolicited client orders only in states where registered and may enter orders received directly from a Financial Advisor registered in the client's state of residence.

Requirements

High school diploma or equivalent.
At least 2 years of clerical or related industry experience.
Knowledge of administrative and clerical procedures and systems, including word processing, spreadsheet applications, file and records management, and office procedures and terminology.
General understanding of the investment brokerage industry and securities regulations, with basic knowledge of investment products.
Ability to organize, prioritize, and manage multiple tasks, responsibilities, and deadlines; follow through on goals, manage expectations, and use firm resources efficiently.
Ability to use logic and reasoning to assess alternative solutions, conclusions, or approaches to practical problems.
Knowledge of customer service principles and processes, including assessing customer needs, meeting service quality standards, and evaluating customer satisfaction.
Ability to communicate information clearly in spoken and written form, with excellent grammar and phone and office etiquette.
Proficiency in Microsoft Excel, Word, PowerPoint, and Outlook.

Nice To Haves

FINRA SIE, Series 7, and Series 63 or 66 licenses and credentials.

Responsibilities

Perform clerical functions related to opening client accounts and maintaining account coding based on client-selected account features.
Work with Financial Advisors and clients to obtain documents required for established account types.
Provide quotes and other account-related information to clients.
Organize and assist with maintaining complete client account and trade-related records for Financial Advisors and required branch office files.
Perform operational or administrative functions for client requests, such as check requests, wiring funds, address changes, and dividend information.
Provide reports and other information to Financial Advisors as requested.
Conduct calling activities using scripts approved by a principal of Advertising and Graphics, without discussing products or investments to the point of solicitation.
Accept and enter unsolicited client orders in states where registered, and enter orders received directly from a Financial Advisor registered in the client's state of residence.
Identify suspicious client or employee activity or behavior and other situations that should be brought to a Financial Advisor's attention or escalated to the Branch Manager.
Perform administrative duties such as typing, filing, answering phones, and mailing documents or letters.
Complete other duties and projects as assigned by a Financial Advisor or Branch Manager.