Registered Client Services Associate - Brokerage
$51,605–$86,008 year
HybridEphrata, Pennsylvania, United States
Job Summary
Manage daily administrative operations for assigned Financial Advisors by serving as the first point of contact for high-volume client inquiries, quotes, and meeting scheduling across phone, in-person, and virtual channels. Onboard new clients, process transactions including trades and deposits, and coordinate trade settlement and fund delivery while ensuring regulatory compliance. Assist with account transfers, beneficiary designations, and marketing efforts for seminars, utilizing CRM software to maintain accurate records. Collaborate with advisors to prepare client presentations and actively engage in training to support firm sales goals.
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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