Client Associate

Role Overview

• Provides processing, operational, and administrative support to Investment Relationship Managers
• Overseeing daily operations
• Coordinating with team members to ensure project milestones are met
• Maintaining accurate documentation for all activities
• Troubleshooting issues
• Implementing process improvements
• Supporting the team in achieving departmental goals
• Demonstrating adaptability and attention to detail

Requirements

• High school diploma or equivalent (Bachelor's degree preferred)
• Five or more years of investment industry experience preferred
• FINRA SIE, Series 7, Series 63 and 65/or 66 registrations and life, variable life, health and disability licenses
• Strong knowledge of the financial services industry, specifically with investment advisory and brokerages services, internal policies, procedures, and all associated regulatory requirements
• Experience with the policies, processes and procedures of the brokerage industry, FINRA and SEC regulatory standards and all applicable regulatory bodies, ensuring regulatory standards are met
• A deep understanding of the Wealth Management Advisor's business model, needs and key drivers as well as the sales process
• Considerable knowledge of internal administrative, compliance and operational procedures
• Strong communication, organization, problem-solving, prioritization, follow-up and relationship building skills

Benefits

• Healthcare (medical, dental, vision)
• Basic term and optional term life insurance
• Short-term and long-term disability
• Pregnancy disability and parental leave
• 401(k) and employer-funded retirement plan
• Paid vacation (from two to five weeks depending on salary grade and tenure)
• Up to 11 paid holiday opportunities
• Adoption assistance
• Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law