Registered Client Service Associate
About The Position
Registered Client Service Associates provide exceptional service to clients and support Financial Advisor teams on a daily basis. Through regular client interactions, they build trusted relationships and assist clients with everyday needs while maintaining a client-first mindset. The role provides client and administrative support to Financial Advisor teams. It includes assisting with client relationships and account servicing, processing client- or advisor-directed transactions and documentation in a clerical capacity, supporting clients’ use of digital tools, and helping the team deliver its business plan and service model. The associate also handles communications, scheduling, office support, and expense-related tasks. The position reports to the Business Service Officer. Applicants must be legally authorized to work in the United States and must not require employment visa sponsorship now or in the future.
Requirements
- High school diploma or equivalency.
- Active Series 7 (GS) and Series 66 (AG/RA), or Series 63 (AG) and Series 65 (RA).
- Knowledge of financial services products, including equities, bonds, options, mutual funds, annuities, insurance, and managed accounts.
- Strong attention to detail, organizational skills, and ability to prioritize.
- Advanced Microsoft Office skills, including Word, Excel, Outlook, and PowerPoint.
- Exceptional writing, interpersonal, and client service skills.
- Strong time management skills.
- Ability to collaborate with others as a team player.
- Ability to work in a fast-paced, evolving environment.
- Adaptability and ability to multitask.
- Goal-oriented, self-motivated, and results-driven.
Nice To Haves
- College degree.
- Two or more years of industry experience.
Responsibilities
- Support Financial Advisor teams in cultivating and enhancing new and existing client relationships.
- Execute money movement transactions at the request of clients and/or Financial Advisor teams.
- Answer general non-investment-related questions about client accounts, including relaying stock positions and providing account balances.
- Enter profile information or pre-fill client account documentation in a clerical capacity at the direction of clients and/or Financial Advisor teams.
- Educate clients about or enroll them in digital tools, including MSOnline, eSign, and eAuthorization.
- Onboard and maintain client accounts, including collecting client information and required documentation in a clerical capacity at the direction of clients and/or Financial Advisor teams.
- Provide existing clients with details about their account information, such as investment objectives and risk tolerance.
- Accept or enter unsolicited orders and enter solicited orders in a clerical capacity at the direction of the Financial Advisor team.
- Support Financial Advisor teams’ marketing strategies, such as website maintenance.
- Assist Financial Advisor teams in delivering their business plans and client service models.
- Remain current on policies, procedures, and new platforms.
- Participate in firm initiatives, training or education programs, special projects, and other duties directed by local management.
- Answer inbound calls or make outbound calls to provide service-request updates, including scheduling follow-up calls with Financial Advisor teams as needed.
- Manage calendars and coordinate meetings or events, including preparing materials, maintaining agendas, and sending calendar invitations with Zoom credentials.
- Maintain travel itineraries, prepare expense reports, and manage the reimbursement process.
- Assist with general in-office support functions, including copying, filing, and scanning documents.
- Prepare and submit expense reports for processing at the direction of the Financial Advisor.
Benefits
- Medical insurance
- Prescription drug coverage
- Dental insurance
- Vision insurance
- Health Savings Account
- Dependent Day Care Savings Account
- Life insurance
- Disability and other insurance plans
- Paid time off, including sick leave consistent with state and local law
- Parental leave
- 10 vacation days annually
- 10 paid holidays
- 401(k)
- Short- and long-term disability
- Potential eligibility for annual discretionary incentive compensation and a business-unit incentive compensation plan, which may include a discretionary bonus
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
High school or GED
