Senior Registered Private Client Associate - Washington, DC

Janney•Washington, DC

About The Position

The Senior Registered Private Client Associate provides administrative, client, and marketing support to one or more Financial Advisors (FAs) and contributes to the ongoing development of their businesses. The associate helps educate new clients and introduce services as directed by the Branch Manager. Responsibilities may vary depending on the FA or team structure. The role requires strong competence across its major areas of responsibility and a relatively high degree of independence. The associate builds and maintains client relationships, works with home office departments and branch associates to address client requests, and supports FAs with client communications, account and transaction information, and productivity and marketing activities. The associate may accept client orders and complete requests in client accounts on behalf of an FA, and may perform some branch-wide operations duties in smaller offices. The position requires applicable securities licenses and compliance with firm and regulatory requirements.

Requirements

At least five years of experience as a Registered Private Client Associate.
Series 7, 63 and 65, or 66 licenses.
Excellent customer service skills.
Computer skills in Word, Excel, PowerPoint, and Outlook.
Ability to work effectively in a fast-paced, deadline-oriented environment.
Strong attention to detail.
Ability to work effectively as part of a team.
High ethical standards.

Nice To Haves

High school diploma, associate degree, or bachelor's degree; an associate or bachelor's degree is preferred.

Responsibilities

Work independently with home office departments to service client requests.
Assist Financial Advisors with the ongoing development and maintenance of effective client relationships.
Remain knowledgeable about products and technology and comply with firm rules and regulations, as well as requirements of regulatory agencies.
Anticipate potential issues or problems and alert the respective Financial Advisor or Branch Management.
Use firm technology to respond promptly to client and Financial Advisor inquiries and help train other Private Client Associates.
Compose client correspondence in accordance with established policies and procedures.
Assist Financial Advisors in organizing and implementing productivity-based campaigns.
Coordinate marketing efforts through the marketing department, including local advertising.
Interface effectively with home office departments and branch associates.
Provide prompt, accurate, detail-oriented telephone service to clients and prospective clients, and ensure continuous telephone coverage.
Perform other duties that contribute to the effectiveness of the branch office and individual Financial Advisors.
In smaller branch offices, potentially perform operations responsibilities for the entire branch.
Work closely with the Financial Advisor to understand clients' investment objectives, financial situations, and risk tolerance.
Keep assigned Financial Advisors informed of pertinent information and activity related to client accounts and transactions, including client suitability issues.
May accept client orders and complete account requests on behalf of the Financial Advisor.