Registered Client Service Associate
On-siteBowling Green, Kentucky, United States
Job Summary
Open and maintain client accounts by performing clerical functions, obtaining required documents, and entering trades as directed by Financial Advisors. Provide customer service support by answering phones, handling check requests and wiring funds, and organizing trade-related records. Submit approved quotes and account information to assist clients while identifying situations requiring escalation to the Branch Manager. Accept and enter unsolicited orders in registered states, manage administrative duties like typing and mailing, and deliver reports as requested. Maintain complete client account files and adhere to securities regulations while following firm scripts for product highlighting.
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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