Senior Registered Client Service Associate (Newport Beach, CA)
$55,000–$80,000 year
On-siteNewport Beach, California, 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. Manage client on-boarding, liquidity events, and private placement monitoring while servicing alternative investments and foreign accounts. Execute trading for discretionary and non-discretionary products, maintain models, and track performance. Assist Financial Advisors with marketing efforts, seminars, and client-facing events. Onboard new clients, open accounts, and research client/security information using internal databases. Ensure key client documentation is current with firm and industry regulations. Manage Financial Advisor expenses, create reports to build practice efficiencies, and identify key performance metrics. 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
- Knowledge of Company's working structure, policies, mission, and strategies
- Knowledge of Managed account platforms
- Knowledge of General office practices, procedures, and methods
- Knowledge of Advanced investment concepts, practices and procedures used in the securities industry
- Knowledge of Financial markets, products and industry regulations
- Knowledge of Trading terminology
- Skill in Client Relationship Management (CRM) software, or similar contact management software
- Skill in Goal planning software
- Skill in Excel, including developing spreadsheets as needed and for ongoing reporting
- Ability to Operate standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases
- Ability to Analyze and research account information
- Ability to Organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment
- Ability to Identify time sensitive items and assess competing priorities
- Ability to Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns
- Ability to Handle stressful situations and provide a high level of customer service in a calm and professional manner
- Ability to Analyze problems and establish solutions in a fast paced environment
- Ability to Use 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, in person and virtually
- Ability to Work both independently and as part of a cohesive team
- Ability to Provide a high level of customer service
- Must be able to lift 50 lbs
Desired Qualifications
- Bachelor's degree
- Experience with Order to Cash
- Experience with Procure to Pay
- Experience with Supply Chain
- Experience with Customers
- Experience with Suppliers
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