Registered Associate II

Registered Associate II

Under general supervision, the Registered Associate II is responsible for managing client relationships of one or more Financial Advisors. The associate acts as a liaison between clients, Financial Advisors and internal partners to respond to client needs and / or requests. Utilizes an understanding of the investment industry and relevant financial markets to provide exceptional customer service and support development of investment strategies based on individual client objectives and market trends.

Uses specific knowledge of a discipline to achieve goals through own work. Has specific knowledge or expertise typically gained through formal education or equivalent experience. Uses expertise to provide guidance to others as a project manager or consultant. Requires working knowledge and experience in own job discipline. Continues to build knowledge of the company, processes and clients. Performs a range of assignments related to job discipline.

Uses prescribed guidelines or policies in analyzing situations. Receives a moderate level of guidance and direction.

• Responsible for day to day client servicing. Including account opening, account servicing and maintenance as well as trade execution. Onboards new client relationships through correspondence, reports, new account paperwork, and advisory agreements.
• Supports Financial Advisor(s) in the process of evaluating investment objectives to provide guidance to clients as appropriate given risk tolerance, income needs, and current market environment.
• Builds relationships with Financial Advisors, internal and external business partners, and clients by delivering exceptional proactive service.
• Works with internal partners (Sales, Operations, Management, or other relationship managers) to respond to client needs / requests.
• As subject area expert to other associates and advisors, providing comprehensive, in-depth consulting and leadership to team and partners at a high technical level.
• Maintains relevant client information in Client Relationship Management system.
• Organizes and maintains client records in accordance with firm, industry, and regulatory compliance.
• Carries out activities that are large in scope, cross-functional and technically challenging.
• Role is balanced between high level operational execution and development, and execution of strategic direction of business function activities.
• Responsible for direct interaction with different committees and / or management.
• Strategic in developing, implementing and administering programs within functional areas.
• Solves problems in straightforward situations.
• Analyzes possible solutions using technical experience and judgment and precedents.
• Impacts quality of own work and the work of others on the team.
• Works within guidelines and policies.

• A College or University degree is preferred.
• FINRA Securities Industry Essentials Exam (SIE), Series 7 or 7TO and 63 / 65 or 66 are required.
• Two or more years working in a client facing service role in the brokerage, investment advisory or financial services environment is preferred.
• Acts as a resource for colleagues with less experience.
• Provides informal guidance and training to new team members.
• Excellent analytical, verbal, and written communication skills are required.
• Thorough knowledge of investment products through prior work experience is required (stocks, bonds, mutual funds, options).
• Organizational skills and the ability to prioritize are essential.
• Technical skills / systems knowledge (e.g. Microsoft Office, Wealthscape, Morningstar Analytics, Thomson ONE are recommended.
• Requires expanded conceptual knowledge in own job discipline.
• Understands key business drivers; uses this understanding to accomplish own work.
• Explains complex information to others in straightforward situations.

This is an office-based position and for the effective performance of this role, the duties and responsibilities must be carried out onsite. 1100 E Las Olas, Ft. Lauderdale, FL 33301.