Client Service Assoc International-Reg

Client Service Assoc International-Reg

Requirements

• Knowledge of administrative and clerical procedures and systems such as word processing, spreadsheet applications, managing files and records, and other office procedures and terminology.
• General understanding of the investment brokerage industry and securities regulations with basic knowledge of investment products.
• Able to organize, prioritize, and manage multiple tasks, responsibilities, and deadlines; can follow through and accomplish goals, manage expectations appropriately, and use the firm’s resources efficiently.
• Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or approaches to practical problem-solving.
• Knowledge of principles and processes for providing exemplary customer and personal services, including customer needs assessment, meeting quality service standards, and evaluation of customer satisfaction.
• The ability to communicate information and ideas in spoken or written form so that others will understand with excellent grammar and phone/office etiquette.
• Spanish fluency with the ability to speak and read English and Spanish regarding review of documents.
• Other Latin American languages are a plus.

Responsibilities

• Perform clerical functions related to opening client accounts and ongoing account coding based on account features chosen by the client.
• Work with the FA(s) and the client to obtain the required documents based on the established account type(s).
• Provide quotes and other account-related information to assist clients.
• Organize and assist in maintaining complete client account and trade-related records for the FA(s) and specific required files for the branch office.
• Perform operational or administrative functions for client-related requests (i.e., check requests, wiring funds, address change, dividend information, etc.).
• Provide reports and other information to FA(s), as requested.
• Perform calling activities, not limited to existing clients, using scripts approved by a principal of Advertising and Graphics.
• May highlight a service or product but may not discuss products or investments beyond a point that the discussion becomes a solicitation where the specific appropriateness of the investment or the client’s suitability becomes a factor.
• Accept and enter unsolicited orders from clients in states where they are registered and may enter orders received directly from an FA registered in the client’s state of residence.
• Identify situations that need to be brought to the attention of the FA(s) or escalated to the Branch Manager, including suspicious client and/or employee activity or behavior.
• Perform various administrative duties (i.e., typing, filing, answering phones, mailing documents/letters, etc.) and other duties and projects as assigned by the FA and/or Branch Manager.

Preferred Qualifications

• Other Latin American languages are a plus.