Registered Client Service Associate
On-siteIndianapolis, Indiana, United States
Indianapolis, Indiana, United StatesOn-siteFull TimeEntry LevelLicense Or CertificationLarge
Full TimeEntry LevelLicense Or CertificationLarge
Job Summary
Manage client account openings, maintenance, and record-keeping while performing administrative support such as word processing, mailings, filing, and phone inquiries. Assist Financial Advisors by obtaining required documents, entering trades, providing account quotes, and handling operational requests like check requests and address changes. Accept and enter unsolicited orders from registered clients, maintain complete trade-related files, and escalate suspicious activity to supervisors. Provide reports and information to advisors as requested while adhering to approved scripts for client communications.
Required Qualifications
- High School Diploma or equivalent
- 2 years investment industry experience
- Series 7 and 63 or 66
- Proficient in Microsoft Excel, Word, PowerPoint, Outlook
- Knowledge of administrative and clerical procedures and systems such as word processing, spread-sheet applications, managing files and records, and other office procedures and terminology
- General understanding of the investment brokerage industry and securities regulations with basic knowledge of investment products
- Able to organize, prioritize and manage multiple tasks, responsibilities and deadlines; is able to follow through and accomplish goals, manage expectations appropriately and use firm's resources efficiently
- Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to practical problem solving
- Knowledge of principles and processes for providing exemplary customer and personal services. This includes customer needs assessment, meeting quality standards for services, and evaluation of customer satisfaction
- The ability to communicate information and ideas in spoken or written form so that others will understand with excellent grammar and phone/office etiquette
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