Registered Client Associate
| Company | D.A. Davidson |
|---|---|
| Location | Helena, MT, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Mid Level |
Requirements
- Successful completion of the (SIE) Securities Industry Essentials and FINRA General Securities Representative (Series 7) Exam and Uniform Securities State Law Exam (Series 66 [or Series 63/65]) or the ability to obtain licensing is required.
- Significant knowledge of the securities industry, its operations and products to include stocks, bonds, margin accounts, options, mutual funds, annuities and insurance products.
- At least two years previous experience as a Registered Client Associate.
- Solid technology skills (Microsoft Word, Excel and Outlook). Experience with Thomson ONE, Envestnet, CRM, Money Guide Pro preferred.
- Excellent communication (written and verbal), problem solving and client service skills.
- Strong attention to detail and accuracy including the ability to perform semi-advanced math.
- Proven ability to manage multiple demands and competing priorities in a deadline-oriented environment.
- Ability to maintain regular, predictable attendance and to work overtime as needed.
Responsibilities
- Provide exceptionally professional and courteous customer service supporting client satisfaction including effectively articulating certain requirements in a regulatory environment.
- Adherence to all Branch, Firm and Compliance policies, procedures, rules and regulations.
- Review, maintain and process account documents and information – Inform FA of meaningful information and activities related to client accounts and transactions including suspicious activity.
- Assist FA with comprehensive financial plans for current and prospective clients.
- Assist FA in developing and implementing periodic client mailings, communications and events.
- Facilitate the transfer of client funds and/or securities and the issuance of checks upon request.
- Enter orders to include buy/sell stock and bond trades, sell stop orders, option and margin trades and mutual funds.
- Provide administrative support, including but not limited to phone, correspondence, appointments, filing and other projects as assigned by the FA and/or Branch Manager.
- Other projects and duties as assigned!
Preferred Qualifications
- Post-Secondary education preferred.
- Experience with Thomson ONE, Envestnet, CRM, Money Guide Pro preferred.