Registered Client Service Associate

Home Bank•Lafayette, LA

58d•Onsite

About The Position

Actively involved in supporting the Retail Financial Advisor(s) in the sales and service of investment, fiduciary, and insurance products through a full-service brokerage platform to (institution) and (non-institution) clients.

Requirements

3-5 years financial services experience required
FINRA Series 7, 63 and 65 or 66 licenses required
Louisiana Life/Variable Insurance (LAH) licenses required
Good credit is a must
Credit report is required for employment

Nice To Haves

Bachelor’s degree in finance, accounting, economics, business administration or related field preferred but not required

Responsibilities

Assisting in the achievement of designated sales revenue goals through customer contact, relationship building, ongoing development of sales, financial planning, referral source management, and technical and interpersonal skills.
Thorough research and resolution of client inquiries.
Providing overall direction for activities related to administrative operations management.
Managing a large volume of financial and operational details with exceptional follow-through and ability to create systems to avoid mistakes.
Reporting back in an efficient, systematic, and timely manner to other staff on tasks completed and next steps required.
Working with trading software, executing trades, and managing account transfers.
Advancing clients to the next stage in the sales process through written communication, reminders to other staff, and follow-through.
Implementing and monitoring office policies and procedures to comply with federal and state regulations and ensuring the firm’s overall compliance with LPL/FINRA/SEC.
Assisting in creating reports, follow-up communication, and departmental research in conjunction with adviser needs.
Ensuring overall high-quality client service in the office environment.
Solving operational problems and playing a strong role in branch operations systems to remain compliant with LPL’s policies and procedures.
Performing all other duties as assigned.