Registered Client Service Associate

Raymond James•Los Alamos, NM

1d•Onsite

About The Position

Wiemann Wealth is a private wealth practice that provides professional, empathetic, and extraordinary service to its clients. We work as a collaborative team to understand our clients’ values, goals, and concerns. As we grow, we are seeking a Registered Client Associate who aligns with our values. The Registered Client Associate manages the overall operational efficiency of the branch office. The ideal candidate has financial services industry experience and is proficient in front- and back-office operations. Additionally, they will be team-oriented and have a strong affinity for organization and process in a professional and discreet environment. Best-fit ideas come from truly knowing our clients – and that’s what you’ll find here at Wiemann Wealth. Look no further. Apply today!

Requirements

Knowledge of Company policies and procedures and industry rules and regulations
Investment concepts, practices and procedures used in the securities industry
Financial markets and products
Technology, both hardware and software
Skill in Client Relationship Management (CRM) software, or similar contact management software.
Microsoft Office 365 applications
Effective communication across multiple client platforms (in-person, virtual, phone and mail)
Project management
Organization
Attention to detail
Time management
Ability to Operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
Handle conversations with discretion and lead others in providing a high level of customer service in a calm and professional manner, constantly projecting a service attitude.
Display professional and pleasant appearance and demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.
Employ good analytical skills to be able to research account information and resolve problems.
Proficiency in Microsoft Suite, AI, Teams and a general understanding of cybersecurity protocols.
Proficiency in Client Relationship Management software
Utilize good interpersonal and verbal and written communication skills to deal with clients, financial advisors, support staff and home office personnel.
Effectively organize, manage, track and complete multiple detailed tasks and assignments with frequently changing priorities and deadlines.
Bachelor’s degree from four-year college or university
Series 7 & 66, or required to obtain within 6 months
General Experience - 3 to 6 years
Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Responsibilities

Daily interactions with clients, including basic inquiries, account information, and scheduling of meetings, on the phone, in-person, virtually and through mailings.
Works both independently and within a team environment to provide crucial support to the financial advisors and branch office.
Open new client accounts, process money movement, and research information as needed
Take trade instruction from clients and enter trades
Creates and maintains records and files utilizing Client Relationship Management (CRM) software.
Researches and resolves complex problems relating to client accounts and inquiries.
Greets clients, prospects, and vendors in a warm and friendly manner