Registered Client Service Associate (Clearwater, FL)
$31,200–$31,200 year
On-siteClearwater, Florida, United States
Job Summary
Serve as the first point of contact for daily client interactions, handling basic inquiries, quotes, and meeting scheduling via phone, in-person, virtual, and mail channels. Onboard new clients, open accounts, and research client data using internal databases while ensuring documentation remains current with firm regulations. Process asset transfers, monitor cash equivalents, and generate weekly reports to contact clients on investment opportunities. Review corporate action alerts, input orders, rebalance portfolios, and maintain records within Client Relationship Management software. Assist advisors with marketing efforts and seminars while actively engaging in training to stay current on industry policies.
Required Qualifications
- High School Diploma or equivalent
- one (1) or more years securities industry or related work experience
- SIE required provided that an exemption or grandfathering cannot be applied
- Series 7 required
- Series 63, 65 and/or 66 as required by state
- Less than 25% travel
- Resident
Desired Qualifications
- effective communication skills across multiple platforms (phone, email, in-person, virtual)
- ability to organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment
- Company's working structure, policies, mission, and strategies
- Managed account platforms
- General office practices, procedures, and methods
- Investment concepts, practices and procedures used in the securities industry
- Financial markets, products and industry regulations
- Trading terminology
- Client Relationship Management (CRM) software, or similar contact management software
- Goal planning software
- Excel, including developing spreadsheets as needed and for ongoing reporting
- Effective communication across multiple client interactive platforms (in-person, virtual, phone and mail)
- Operate standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases
- Analyze and research account information
- Organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines
- Identify time sensitive items and assess competing priorities
- Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns
- Handle stressful situations and provide a high level of customer service in a calm and professional manner
- Analyze problems and establish solutions in a fast paced environment
- 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
- 7 to 12 months General Experience
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