Registered Client Associate

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

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

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