Registered Client Services Associate - Brokerage
$51,605–$86,008 year
HybridMount Laurel, New Jersey, United States
Job Summary
Manage daily administrative operations for assigned Financial Advisors, serving as the first point of contact for high-volume inquiries, quotes, and meeting scheduling via phone, in-person, or virtual channels. Onboard new clients by verifying documentation and monitoring asset transfers, while processing trades, deposits, and withdrawals in strict compliance with regulatory requirements. Solicit and receive orders from advisors, entering unsolicited trades as directed, and communicate trade settlement details, fund payments, and portfolio information to clients. Collaborate on client meetings and presentations, utilizing CRM software to maintain accurate records and current paperwork. Assist with marketing efforts and seminars, while actively engaging in training to stay current on firm policies and industry procedures.
Required Qualifications
- Bachelor's Degree or the equivalent experience. Specialty: business, finance or related.
- 3 or more years administration in financial services or sales environment.
- 2 or more years experience with investment operations, procedures, and transfers.
- SIE (Security Industry Essentials), Series 7, Series 63 (or Series 66).
- Must be able to be affiliated with our Broker Dealer.
- Knowledge of investment industry terminology.
- Knowledge of mathematics sufficient to process account and transaction information.
- Ability to use appropriate interpersonal styles and communicate effectively both orally and in writing with all organizational levels.
- Ability to take initiative and proactively follow up on submitted items to ensure completion, resolve errors questions or concerns.
- Ability to identify time sensitive items and assess competing priorities.
Desired Qualifications
- 5 or more years experience in financial services or sales environment.
- Experience with Microsoft Office Suite.
- Experience with client relationship management (CRM) software, or similar contact management software.
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