Registered Client Service Associate
$31,200–$31,200 year
On-siteBirmingham, Michigan, United States
Job Summary
Serve as the first point of contact for high-volume daily interactions, including basic inquiries, providing quotes, and scheduling meetings for prospective and existing clients via phone, in-person, virtual, and mail. Onboard new clients, open accounts, and research client and security information using internal databases. Process asset transfers, monitor cash awaiting investment, and generate weekly cash reports to contact clients with investment opportunities. Review corporate action items, respond to account alerts, prepare financial reports, input orders, and rebalance portfolios on behalf of Financial Advisors. Maintain client records and files using CRM software while assisting with marketing efforts and seminars.
Required Qualifications
- High School Diploma or equivalent
- SIE required provided that an exemption or grandfathering cannot be applied
- Series 7 required
- Series 63, 65 and/or 66 as required by state
- 7 to 12 months securities industry or related work experience
- Less than 25% travel
- Resident
Desired Qualifications
- one (1) or more years securities industry or related work experience preferred
- an equivalent combination of experience, education, and/or training as approved by Human Resources
- 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 in a fast-paced, task-oriented work environment
- 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
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