Registered Client Service Associate

Job Summary

Supports Financial advisors and their prospective and existing clients and other branch staff team members. Demonstrates effective communication skills across multiple platforms (phone, email, in-person, virtual), as well as the ability to organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment.

• Serves as first point of contact for a high volume of daily interactions, including basic inquiries, providing quotes, and scheduling meetings with prospective and existing clients via phone, in-person, virtual, and mailings.
• Works independently and within a dynamic team to provide crucial support to financial advisors and the branch office.
• 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 are successfully received.
• Monitors available cash awaiting investment, runs weekly cash and cash equivalent reports, and contacts clients with investment opportunities to maximize returns.
• Reviews, assesses, and responds to all corporate action items and client account alerts.
• 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.
• Assists Financial Advisors with marketing efforts including seminars and other client‑facing events.
• Participates in available training, cross‑training, and professional development opportunities to remain current on firm and industry policies and procedures.
• Performs other duties and responsibilities as assigned.

• High School Diploma or equivalent and one (1) year or more of securities industry or related work experience, or an equivalent combination of experience, education, and training as approved by Human Resources.
• Proficiency with general office practices, procedures, and methods.
• Knowledge of investment concepts, practices, and procedures used in the securities industry.
• Familiarity with trading terminology and financial markets, products and industry regulations.
• Experience with Client Relationship Management (CRM) software or similar contact management software.
• Experience with goal planning software.
• Advanced Excel skills, including developing spreadsheets for ongoing reporting.
• Strong communication skills across multiple client interactive platforms (in-person, virtual, phone, and mail).
• Ability to operate standard office equipment and required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
• Analytical and research skills for account information.
• Strong organizational skills with the ability to manage multiple detailed tasks and assignments with changing priorities and deadlines in a fast‑paced, task‑oriented work environment.
• Proactive follow‑up and problem‑solving abilities.
• Proficient in mathematics necessary to process account and transaction information.
• Effective interpersonal skills and ability to communicate with all organizational levels, both orally and in writing.
• Ability to work independently and as part of a cohesive team, providing a high level of customer service.

• Securities Industry Essentials (SIE) – required (unless exempt or grandfathered).
• Series 7 – required.
• Series 63, 65, and/or 66 – required by state.

Salary Range: $55,000.00 - $75,000.00.
Travel:
Less than 25%.
Workstyle:
Hybrid.

The position includes base salary or wages and may include additional compensation (cash or equity), discretionary bonuses, or commissions. Eligible for a comprehensive benefits package that may include medical, dental, vision, life insurance, critical illness insurance, accident insurance, disability benefits, retirement savings, paid time off (vacation, holidays, sick leave), and parental leave. Specific offerings may vary based on position and employment status.

The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.