Registered Associate
POSITION SUMMARY:
The Registered Associate enhances the client experience by providing exceptional client service, supporting Branch functions as needed, assisting in safeguarding client assets, and serving as administrative and operational support to Financial Advisors. The Registered Associate is responsible for understanding firm policies, procedures and digital capabilities that will allow them to interact with Financial Advisor teams as well as new and existing clients. In order to perform daily business activities, the Registered Associate is required to have passed FINRA’s Securities Industry Essentials (SIE) Exam and have active Series 7 and 66 (or 63 and 65) Licenses, which would either be held fully or partially at the time of hire or be obtained through a required study program within the initial months of employment and as a requirement of continued employment.
DUTIES and RESPONSIBILITIES:
- Maintain existing client relationships through the processing of client requests, resolving client inquiries, and making sure key client information and documentation is up to date
- Conduct outreach to maintain strong relationships with client base and identify Firm services and solutions, such as digital, online access and cash management offerings, that support clients’ needs
- Onboard new client accounts, which includes the collection of required documentation and client information
- Support the team’s marketing strategy by maintaining marketing materials, including digital and social media platforms, and planning client events and seminars
- Prepare financial reports, spreadsheets, and other materials for client meetings
- Regularly seek opportunities to use firm resources for peer sharing and collaborating with Financial Advisors
- Proactively participate in firm initiatives directed by local management
- Actively engage in available training and education programs to maintain current status on policies, procedures and risk awareness
- Input orders on behalf of Financial Advisor
- Perform administrative duties that support Financial Advisors in daily business practices, including but not limited to, telephone coverage, business travel arrangements, coordination of client meetings, prepare travel & expense reports, and file & calendar maintenance
EDUCATION, EXPERIENCE, KNOWLEDGE, and SKILLS:
Education and/or Experience
- Active SIE, Series 7, 66 (or 63 and 65) held at time of hire or obtained within initial months of employment
- Two or more years of industry experience preferred
- High School Diploma/Equivalency
- College degree preferred
Knowledge/Skills
- Strong industry, product, and branch procedures knowledge
- Detail oriented with superior organizational skills and ability to prioritize tasks
- Exceptional writing, interpersonal and client service skills
- Strong computer skills and knowledge of Microsoft Office products
- Team player with the ability to collaborate with others
- Ability to work in a fast-paced, evolving environment
Reports To:
- Complex Business Service Officer or Business Service Manager