The Client Services Associate (NR) assists one or more Financial Advisors (FA) with the opening and maintenance of client accounts and records; performs a wide variety of administrative support duties, including but not limited to, data entry, preparing mailings, filing, answering the phone, obtaining approvals for FA communications and advertisements; provides overall customer service support to clients; and may enter trades as directed by the FA(s). Series 7 and Series 66 preferred but not required.
- Perform clerical functions related to opening client accounts and ongoing account coding based on account features chosen by the client.
- Work with the FA(s) and the client in obtaining the required documents based upon the type of account(s) established.
- Organize and assist in the maintenance of complete client account and trade-related records for the FA(s) and certain required files for the branch office.
- Perform operational or administrative functions for client related requests (i.e., check requests, wiring funds, address change, dividend information, etc.).
- Upon request, provide quotes and other account-related information to assist clients (non-registered Client Service Associates may not volunteer quote or other stock information to clients).
- Provide reports and other information to FA(s), as requested.
- Identify situations that need to be brought to the attention of the FA(s) or escalated to the Branch Manager; including suspicious client and/or employee activity or behavior.
- Perform various administrative duties (i.e., typing, filing, answer phones, mailing documents/letters, etc.) and other duties and projects as assigned by the FA and/or Branch Manager.
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- 2 years general clerical experience required.
- High school diploma required; college degree preferred.
- Knowledge of administrative and clerical procedures and systems such as word processing, spread-sheet applications, managing files and records, and other office procedures and terminology.
- General understanding of the investment brokerage industry and securities regulations.
- Basic knowledge of investment products.
- Basic understanding of operations system (i.e., forms and their purpose).
- Ability to organize/prioritize
- Practical problem solving
- Strong focus on providing exemplary client service
- Strong interpersonal skills
- Strong communication skills (both written and verbal)
- Excellent grammar and possess phone/office etiquette
- Must be able to manage stress, meet strict deadlines under pressure, perform with a high degree of accuracy, and consistently provide excellent customer service.