Registered Client Service Associate

Home Bank•Lafayette, LA

58d

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, technical and interpersonal skills.
Thorough research and resolution of client inquiries.
Providing overall direction for activities related to administrative operations management.
Managing a very large volume of financial and other 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 next stage in 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 ensures the firm’s overall compliance with LPL/FINRA/SEC.
Assisting in creating reports, follow-up communication, and departmental research in conjunction with adviser needs and ensures overall high-quality client service in the office environment.
Solving operational problems and a strong role in branch operations systems in order remain compliant with LPL’s policies and procedures.
Performing all other duties as assigned.