Registered Client Associate
On-siteScottsdale, Arizona, United States
Job Summary
Manage daily client interactions via phone, in-person, virtual, and mail channels to handle inquiries, provide account information, and schedule meetings. Open new client accounts, process money movements, and research account data while creating and maintaining records in Client Relationship Management (CRM) software. Enter data into financial plans and produce correspondence, reports, and databases using Microsoft Office 365 applications. Identify time-sensitive items, resolve errors or concerns, and follow up on submitted items to ensure completion in a fast-paced environment. Maintain high-level customer service while adhering to firm policies and standard operating procedures.
Required Qualifications
- SIE, Series 7, 63, or equivalent
- 3+ years of industry experience
- Knowledge of Company's working structure, policies, mission, and strategies
- General office practices, procedures, and methods
- Financial planning software
- Skill in Client Relationship Management (CRM) software, or similar contact management software
- Microsoft Office 365 applications
- Effective communication across multiple client platforms (in-person, virtual, phone and mail)
- Ability to Operate standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases
- Use mathematics sufficient to process account and transaction information
- Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels, in person and virtually
- Work both independently and as part of a cohesive team
- Provide a high level of customer service
- Less than 25% Travel
- Resident
Desired Qualifications
- Experience in financial plan data entry and prep is a plus
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