Senior Client Specialist
$58,885–$79,040 year
On-sitePortland, Maine, United States
Job Summary
Coordinate client onboarding by managing prospect pipelines, preparing new account paperwork, and opening accounts for Financial Advisors. Handle incoming calls, manage client needs, and schedule appointments while assembling materials for client meetings. Initiate and complete transactions including security orders for stocks, bonds, and options per advisor instructions. Proactively review investment opportunities daily to notify advisors of funds, maturing securities, and reorg items. Maintain the CRM system for reporting, mailings, and e-mail tracking, and develop client lists and seminar content. Ensure business adherence to firm and industry regulatory policies.
Required Qualifications
- 5+ years of prior industry work experience
- Active Securities Industry Essentials (SIE) Exam
- Series 7 license
- Series 66 or Series 63 and Series 65 licenses
- Proficient in Microsoft Office suite (Word, Excel, PowerPoint)
- Excellent verbal and written communication skills
- Detail oriented with an emphasis on accuracy
- Critical thinking and proactive problem solving skills
- Good analytical skills with ability to perform semi-advanced math
- Understanding of compliance regulations including the client complaint process and correspondence policies
Desired Qualifications
- Bachelor's degree preferred, not required
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