Our client, a growing financial services firm, is looking for a Registered Client Associate to join their team. The Registered Client Associate is a sales and client relationship support position expected to enhance the client experience by providing exceptional client service. This position is ideal for a creative and organized professional with outstanding administrative skills looking to learn, grow, and develop professionally in the Wealth Management Arena. The ideal candidate is a detailed-oriented self-starter with the ability to take initiative and work with minimal supervision. '
Responsibilities
- Assist Financial Advisor(s) with sales, service, and operational-related activities such as providing service to clients via telephone, direct interaction and/or written correspondence.
- New Client Onboarding, managing documents for accuracy and completeness.
- Use of DocuSign, scanning, and electronic filing.
- Perform basic money movement functions.
- Process trades as directed by the Financial Advisor.
- Process trades and rebalancing in the firms Model Portfolio's.
- Monitoring and Processing RMD's.
- Preparing for and attending client review meetings.
- Implementing a plan of action derived from client review.
- Creation and maintenance of workflows.
- Research client and security information through the back-office system.
- Ensure required client paperwork is current with firm and industry compliance standards.
- Maintain databases and create reports using Salesforce.
- Participate in and receive cross-training, as well as assist with other operational functions as required.
- Reviewing the meeting notes of the Advisor regarding client goals.
- Discussing and formulating the Financial Plan in concert with the advisor.
- Completing the data entry into E-Money.
- Illustrating the different scenario projections and formulating recommendations.
- Preparation of the Financial Planning Document.
Qualifications:
- Series 7, 63, or 65/66
- 2+ years of relevant experience as a Registered Sales Assistant
- Extensive experience with online trading, client service, and compliance.
- Bachelor's degree or equivalent combination of education/experience
- Personal or professional track record of achievement
- Adept at prioritizing multiple responsibilities and taking initiative.
- Demonstrates extreme attention to detail.
- Masterful organizational and time management skills.
- Thrives in a fast-paced environment.
- Ambitious and goal-oriented.
- Possesses exceptional people skills and effective verbal and written communication.
- Exudes a high level of professionalism and integrity.
- Ample customer service experience
- Familiarity with navigating Salesforce or similar customer relationship management (CRM) database.
- Proficient in Microsoft 365.
- Experience with Morningstar Advisor workstation.
Preferred:
- Having Series 7 & 24 and a background with our clearing house LPL Financial (Client Works)
Perks:
- Company covers 100% of benefits (Health, Dental, Vision)
- 401(k) match
- Complimentary membership to Lifetime Fitness through Aetna's Peerfit Program
- PTO
- Flexible, hybrid work environment in an easy-to-commute, A+ office space.