Client Associate

Client Associate

Requirements

• Effective communication skills
• Ability to manage changing priorities and deadlines in a fast-paced, task-oriented environment
• Knowledge of company’s working structure, policies, mission, and strategies
• Knowledge of general office practices, procedures, and methods
• Knowledge of investment concepts, practices and procedures used in the securities industry
• Knowledge of financial markets, products and industry regulations
• Skill in Client Relationship Management (CRM) software, or similar contact management software
• Skill in Excel, including developing spreadsheets as needed and for ongoing reporting
• Skill in Microsoft 365 applications
• Ability to operate standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases
• Ability to analyze and research account information
• 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
• Ability to identify time sensitive items and assess competing priorities
• Ability to take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns
• Ability to handle stressful situations and provide a high level of customer service in a calm, professional manner
• Ability to analyze problems and establish solutions in a fast-paced environment
• Ability to use mathematics sufficient to process account and transaction information
• Ability to use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels, in person and virtually
• Ability to work both independently and as part of a cohesive team
• Ability to provide a high level of customer service

Responsibilities

• Daily interactions with clients, including basic inquiries, account information, and scheduling of meetings, on the phone, in-person, virtually and through mailings
• Works both independently and within a team environment to provide crucial support to the financial advisors and branch office
• Opens new client accounts and researches client and security information using internal databases and other technologies
• Ensures client paperwork and documentation is accurate and correct prior to submission and processing. Follows up to ensure accurate completion
• Prepares letters, forms, and reports to assist with servicing existing clients and prospecting for new clients
• Prepares various business summary reports and client-specific reporting as needed for review by the financial advisor
• 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

Preferred Qualifications

No preferred qualifications provided.