Registered Client Service Associate

• Provide exceptional service to clients and support Financial Advisors, Private Wealth Advisors, and teams daily
• Cultivate and enhance new and existing client relationships
• Execute money movement transactions at client or advisor request
• Answer non-investment account questions, relay stock positions, and provide account balances
• Enter profile information and pre-fill account documentation in a clerical capacity
• Educate or enroll clients in digital tools such as MSOnline, eSign, and eAuthorization
• Onboard and maintain client accounts, including collecting client information and required documentation
• Provide clients with account information such as investment objectives and risk tolerance
• Accept or enter unsolicited orders and enter solicited orders in a clerical capacity
• Support advisor and team marketing strategies, including website maintenance
• Assist advisors and teams with business plans and client service models
• Stay current on policies, procedures, and new platforms
• Participate in firm initiatives, special projects, and other duties directed by local management
• Answer inbound calls and make outbound calls regarding service requests
• Manage calendars, coordinate meetings and events, and prepare meeting materials
• Maintain travel itineraries, prepare expense reports, and manage reimbursements
• Assist with in-office support functions including copying, filing, and scanning
• Report to the Business Service Officer

• High School Diploma/Equivalency
• Active Series 7 (GS), and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA)
• Legally authorized to work in the United States
• Must not require, now or in the future, sponsorship for employment visa status
• Knowledge of financial services products, including equities, bonds, options, mutual funds, annuities, insurance, and managed accounts
• Advanced Microsoft Office skills (Word, Excel, Outlook and PowerPoint)
• Detail oriented with superior organizational skills and ability to prioritize
• Exceptional writing, interpersonal and client service skills
• Strong time management skills
• Ability to collaborate with others
• Ability to work in a fast-paced, evolving environment
• Adaptable and able to multitask
• Goal oriented, self-motivated and results driven
• College degree preferred
• Two or more years of industry experience preferred

Demonstrates expertise in client relationship management and financial services, with a strong focus on executing transactions and providing exceptional client support. Proficient in utilizing digital tools and Microsoft Office to enhance service delivery and operational efficiency.

• Active Series 7 License
• Active Series 66 License
• Financial Services Knowledge
• Advanced Microsoft Office Skills
• Client Relationship Management

• Money Movement Transactions
• Account Onboarding
• Profile Information Entry
• Investment Product Knowledge
• Order Entry

• Detail Oriented
• Exceptional Writing Skills
• Interpersonal Skills
• Time Management
• Adaptability

• High School Diploma
• Series 7 License
• Series 66 License
• Series 63 License
• Series 65 License

• Financial Services
• Equities
• Bonds
• Options
• Mutual Funds
• Annuities
• Insurance
• Managed Accounts

• MSOnline
• ESign
• EAuthorization