The Client Service Associate supports the Financial Advisor (FA) in the daily administration of their business by opening new accounts, preparing and processing investment documentation, and maintaining all related files and paperwork. This position will interact with clients regularly regarding account maintenance and transactions.
Experience, qualification, and soft skills, have you got everything required to succeed in this opportunity Find out below.
- Perform clerical functions related to opening client accounts and ongoing account coding based on account features chosen by the client.
- Support the daily administration of the FA's business by opening client accounts, preparing and processing investment documentation, facilitating outgoing check requests and other disbursements, maintaining current client information and anticipating client needs.
- Interact with clients by phone, email, or in-person to respond to their inquiries, provide account and market information, and schedule appointments.
- Administrative duties not limited to scanning, answering phones, preparing mailings, data entry, scheduling meetings, coordinating business meals and travel arrangements.
- Maintain accurate and complete account and trade records/files as required by Firm policy and industry regulation.
- Identify matters that require escalation including suspicious activity, customer complaints, trading errors, and violation of industry regulation or Firm policy.
Qualifications
- Series 7 and Series 66 preferred but not required.
- Provide exemplary service to clients with exceptional interpersonal skill and written/verbal communication.
- Ability to organize large amounts of information and prioritize workload to meet deadlines.
- Basic understanding of the Financial Services industry
Education & Experience
- High School Diploma or equivalent
- 2+ years clerical/related industry
Systems & Technology
- Proficient in Microsoft Excel, Word, PowerPoint, Outlook
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