Client Services Associate

Role Overview

• It is the responsibility of the Client Sales Assistant to take ownership and be proactive in servicing of existing relationships and prospective client relationships.
• Must be well versed in all aspects of broker/dealer systems and technology, products, and services.
• Additional responsibilities include taking ownership of all tasks and challenges that they encounter in the operation of their assigned position.
• To provide assistance to the Financial Consultant maximizing sales results while minimizing their time spent on administrative and operational tasks.
• Be well versed in all broker/dealer technology, compliance, advisory alerts, investment products, services and solutions and be able to assist customers in all aspects of the conduct and servicing of their relationship.
• Assist the Financial Consultant with increasing sales and overall productivity.
• Ensure the efficient ongoing operations of the Financial Consultant by: Managing, coordinating, and maintaining appointment and referral opportunities, providing assistance in the scheduling of appointments and follow up tickler system for the Financial Consultant.
• Assisting in the development of additional referrals through their assigned banking partners.
• Providing the necessary administrative and operational support to the FC, including processing of all necessary documentation, checks and other relevant documentation.
• Working directly with clients and assisting clients in the servicing of their relationship.
• Taking direction, within regulatory limitations based on FINRA licensure, from the Investment Consultant in receiving and processing orders with the broker/dealer on behalf of the client.

Requirements

• Education : High School Diploma required, College Degree or equivalent preferred
• Experience : 3-5 years previous investment services experience preferred. FINRA licenses 6, 63, 65, 7 required.
• Certifications/Specific Knowledge : Must be highly organized and a self-starter, excellent PC skills, including Word and Excel. Is expected to possess the ability to identify, research and solve problems quickly and accurately, ability to interact with co-workers, broker/dealer, referral sources and customers in a highly professional manner. Ability to listen effectively, learn quickly and prioritize work, ability to work with minimal supervision, ability to shift quickly to new tasks when priorities change

Benefits

• Required annual compliance training
• New Employee Orientation
• Continuing education classes on Investments, Insurance, and other Financial Services