Assist advisor(s) in servicing clients including preparing financial plans, conducting investment research, and completing trades and transactions as described by the advisor.
Prepare and summarize client meetings by scheduling and confirming meetings, entering data into contact manager, building the agenda and summary of meetings, escorting clients to advisor meeting and providing vital follow-up.
Ensure new business paperwork is submitted efficiently which includes preparation of forms and documentation for submission to home office, acquisition of appropriate signatures, tracking of new insurance applications and coordination of rollovers.
Coordinate marketing events which include organizing the event, contacting vendors, finalizing event details, crafting marketing compliance documentation, and managing event marketing reimbursement.
Provide general administrative duties such as answering the advisors’ phone, processing expense management reports, preparing routine client correspondence, supporting closes, setting up client documents and new business correspondence and alerts.

Bachelor’s degree or equivalent
3
5 years relevant experience required
Series 7 or ability to obtain within 150 days
State securities agent registration (S63 or S66) or ability to obtain within 150 days
Experience working in a client service environment
Detail-oriented, strong math, and analytical skills
Good organization and time management skills
Able to manage multiple priorities and prioritize effectively
Able to independently work with minimal direct supervision
Able to communicate with all levels within the organization
Process oriented and can work with a team
Strong computer and software skills

Registered Client Service Associate

Key skills