Senior Registered Client Service Associate – Hybrid

Senior Registered Client Service Associate – Hybrid

Requirements

• Client Relationship Management (CRM) software, or similar contact management software
• Excel, including developing spreadsheets as needed and for ongoing reporting
• Effective communication across multiple client interactive platforms (in-person, virtual, phone and mail)
• Company’s working structure, policies, mission, and strategies
• Managed account platforms
• General office practices, procedures, and methods
• Advanced investment concepts, practices and procedures used in the securities industry
• Financial markets, products and industry regulations
• Trading terminology
• Operate standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases
• Analyze and research account information
• Organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment
• Identify time sensitive items and assess competing priorities
• Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns
• Handle stressful situations and provide a high level of customer service in a calm and professional manner
• Analyze problems and establish solutions in a fast paced environment
• Use mathematics sufficient to process account and transaction information
• Work both independently and as part of a cohesive team
• Provide a high level of customer service
• Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.

Responsibilities

• Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes and scheduling of meetings, with prospective and existing clients on the phone, in-person, virtually and through mailings.
• Helps manage and standardize best practices for various activities: new client on-boarding, large client liquidity events, private placement investment monitoring.
• Trading of both discretionary and non-discretionary products, model maintenance and performance tracking.
• Servicing of alternative investments and foreign accounts, including setup and maintenance.
• May participate in live meetings with the Financial Advisor and their respective client(s).
• Manages budgeting and tracking of Financial Advisor expenses.
• Creates reports to build more practice efficiencies, identify key practice performance metrics, and helps implement processes to further enhance the team’s performance.
• 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.
• Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office.
• May solicit order from clients at the direction of the Financial Advisor.
• Receives unsolicited orders from the clients; may enter unsolicited trades at the direction of the Financial Advisor.
• Assists Financial Advisors with marketing efforts including seminars, mail and other client-facing events.
• Actively engages in available training/cross-training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures.
• Acts as mentor and resource to junior team members; manages team workflow and works towards creating greater team operational efficiencies.
• Performs other duties and responsibilities as assigned.

Preferred Qualifications

No preferred qualifications provided.