Registered Client Service Associate

Registered Client Service Associate

The registered client service associate utilizes the client relationship model and turnkey tools to assist advisors in servicing clients by gathering and analyzing client data, helping to prepare financial plans, working with clients, and processing transactions, trades for clients, and other practice management tasks, as needed. Provide general administrative/reception/operations support, as needed, for the financial institution program.

Key Responsibilities:

• Assist advisor in servicing clients, which includes preparing financial plans, conducting investment research, and completing trades and transactions.
• Frequent communication with financial advisors, bank representatives and others via email and phone.
• Prepare and summarize client meetings by scheduling and confirming meetings, entering data into contact manager, creating the agenda and summary of meetings, escorting clients to advisor, and providing necessary follow-up.
• Prepare and ensure new business paperwork successfully submitted, which includes preparing forms, obtain appropriate signatures, prepare documentation to send to home office, track new insurance applications, and coordinate rollovers.
• Prepare for and coordinate marketing events, which includes creating marketing compliance documentation and managing event marketing reimbursement.
• Provide general administrative duties, such as answering the advisor’s phone, processing expense management reports, preparing routine client correspondence, providing support for closes, setting up of client files, and copying new business correspondence and alerts.

Required Qualifications:

• Bachelor’s degree or equivalent.
• 3 - 5 years relevant experience required.
• Series 7 or ability to obtain within 150 days.
• State securities agent registration (S63 or S66) or ability to obtain within 150 days.
• Experience working in a client service environment.
• Detail-oriented, strong math, and analytical skills.
• Good organization and time management skills.
• Able to manage multiple priorities and prioritize effectively.
• Able to independently work with minimal direct supervision.
• Able to communicate with all levels within the organization.
• Process oriented and can work with a team.
• Strong computer and software skills.

Preferred Qualifications:

• State IAR registration (S65 or S66) or ability to obtain within 150 days.
• Life, Accident, and Health licenses & Variable Contracts or ability to obtain within 150 days.

Base Pay Salary: The estimated base salary for this role is $58,300-$80,100/year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.