Sr Registered Client Service Associate

Raymond James • Lemont, IL

5d • $80,000 - $100,000 • Onsite

About The Position

Hunziker & Associates is a full-service wealth management firm that provides concierge-level service to its clients. As they evolve, they are seeking an Senior Registered Client Associate and Sales Assistant to manage the overall operational efficiency of the branch office. The ideal candidate has industry experience and is proficient in front- and back-office operations. Additionally, the Sales Assistant will direct day-to-day operational functions of the office, interface heavily with high net worth clients, run project management, ensure compliance with firm and regulatory policies and procedures, and have a strong affinity for organization and process in a professional, discreet, and team-oriented environment. When you become a part of the Hunziker family, you will have a trusted team by your side!

Requirements

• Knowledge of Company’s working structure, policies, mission, and strategies.
• Managed account platforms.
• General office practices, procedures, and methods
• Investment concepts, practices and procedures used in the securities industry
• Financial markets, products and industry regulations
• Trading terminology
• Skill in Client Relationship Management (CRM) software, or similar contact management software
• Microsoft Office Suite
• Effective communication (in-person, virtual, phone, and mail)
• Ability to Operate standard office equipment and using required software applications, such as Excel, to produce correspondence, reports, electronic communication, spreadsheets, and databases
• Analyze and research account information
• Organize, manage, and track multiple, detailed tasks and assignments with. frequently changing priorities and deadlines in a fast-paced, task-oriented work environment
• Identify time sensitive items and assess competing priorities
• Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions, or concerns
• Handle stressful situations and provide a high level of customer service in a calm and professional manner
• Analyze problems and establish solutions in a fast-paced environment
• Use mathematics sufficient to process account and transaction information
• Use appropriate interpersonal styles and communicate effectively
• Work both independently and as part of a cohesive team
• Provide a high level of customer service
• Bachelor’s degree OR three years’ experience in the financial services industry, preferably including related operational management and supervisory experience
• Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Nice To Haves

• SIE required provided that an exemption or grandfathering cannot be applied
• Series 7
• Series 63, 65 and/or 66 as required by state
• Ability to obtain additional securities and advisory state registrations if required by state

Responsibilities

• Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes, scheduling of meetings with prospective and existing clients
• Onboards new clients, opens new client accounts and researches client and security information using internal databases and other technologies
• Ensures key client information and documentation is current with firm and industry requirements, rules and regulations
• Processes and monitors the transfer of assets to ensure all assets and cost basis were successfully received
• Prepares financial reports, spreadsheets and other materials for client meetings
• Inputs orders and rebalances portfolios on behalf of the Financial Advisors
• Creates and maintains records and files utilizing Client Relationship Management (CRM) software
• Actively engages in available training/cross-training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures
• Performs other duties and responsibilities as assigned

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level