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Registered Associate

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 Series 7, 63 and 65 or Series 7 and 66
  • 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


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