Senior Registered Client Service Associate (Colorado Springs, CO)
$55,000–$75,000 year
On-siteColorado Springs, Colorado, United States
Job Summary
Serve as the first point of contact for high-volume daily interactions, including basic inquiries, providing quotes, and scheduling meetings with prospective and existing clients via phone, in-person, virtual, and mail channels. Manage and standardize best practices for new client on-boarding, large client liquidity events, and private placement investment monitoring. Handle trading of discretionary and non-discretionary products, model maintenance, performance tracking, and servicing of alternative investments and foreign accounts. Onboard new clients, open accounts, and research client and security information using internal databases while ensuring documentation meets firm and industry requirements. Create reports to build practice efficiencies, identify key performance metrics, and assist Financial Advisors with marketing efforts including seminars and client-facing events. Act as a mentor to junior team members and manage workflow to enhance operational efficiency.
Required Qualifications
- High School Diploma or equivalent
- five (5) years of financial services industry service experience
- SIE required
- Series 7 required
- Series 63, 65 and/or 66 as required by state
- Ability to obtain additional securities and advisory state registrations if required by state
- Client Relationship Management (CRM) software, or similar contact management software
- Goal planning software
- Excel, including developing spreadsheets as needed and for ongoing reporting
- Effective communication across multiple client interactive platforms (in-person, virtual, phone and mail)
- Operate standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases
- Analyze and research account information
- Organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment
- Identify time sensitive items and assess competing priorities
- Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns
- Handle stressful situations and provide a high level of customer service in a calm and professional manner
- Analyze problems and establish solutions in a fast paced environment
- Use mathematics sufficient to process account and transaction information
- Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels, in person and virtually
- Work both independently and as part of a cohesive team
- Provide a high level of customer service
- Knowledge of Company's working structure, policies, mission, and strategies
- Managed account platforms
- General office practices, procedures, and methods
- Advanced investment concepts, practices and procedures used in the securities industry
- Financial markets, products and industry regulations
- Trading terminology
Desired Qualifications
- Master's degree preferred
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