Registered Client Associate

Registered Client Associate

Requirements

• 2+ years of Brokerage and Client Services experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Responsibilities

• Assist Profit Formula (PF) Financial Advisor(s) with sales, service and operational related activities such as providing service to clients via telephone, direct interaction and/or written correspondence
• Facilitate PF Financial Advisor and client requests for account related information and/or quotes, scheduling and preparing for appointments with new or prospective clients
• Establish and service client accounts, prepare forms, research account inquiries and/or issues
• Execute various administrative functions for the PF Financial Advisor(s) and Branch Management including, but not limited to, tracking referrals, coordinating, and executing marketing campaigns, establishing and maintaining files to meet the firm’s regulatory requirements, and establishing and maintaining filing and record keeping necessary to support efforts to service and grow client relationships
• When applicable, act as the liaison for all referral sources by reviewing paperwork for completeness and forwarding to management for review

Preferred Qualifications

• Brokerage client support experience
• Administrative support experience in financial services
• Experience interacting directly with customers
• Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
• Client service focus with the ability to listen to customer needs and recommend solutions
• Ability to prioritize work, meet deadlines, achieve goals, and work in a dynamic and complex environment