Registered Client Service Associate

Our client is a well-established financial services firm with over a century of experience in investment advice, asset management, and insurance, supported by a large network of financial advisors serving diverse client needs.

They have a strong global presence, with offices across regions. Any third-party content referenced is for general information only and is not endorsed or guaranteed. Investment decisions should be made in consultation with a financial advisor, as all investments carry risks, including potential loss of principal.

Responsibilities:

• Assist advisor(s) in servicing clients including preparing financial plans, conducting investment research and completing trades and transactions as described by the advisor.
• Prepare and summarize client meetings by scheduling and confirming meetings, entering data into contact manager, building the agenda and summary of meetings, escorting clients to advisor meeting and providing vital follow-up.
• Ensure new business paperwork is submitted efficiently which includes preparation of forms and documentation for submission to home office, acquisition of appropriate signatures, tracking of new insurance applications and coordination of rollovers.
• Coordinate marketing events which include organizing the event, contacting vendors, finalizing event details, crafting marketing compliance documentation and managing event marketing reimbursement.
• Provide general administrative duties such as answering the advisors’ phone, processing expense management reports, preparing routine client correspondence, supporting closes, setting up client documents and new business correspondence and alerts.

Requirements:

• Bachelors degree or equivalent.
• 3 - 5 years relevant experience required.
• Series 7 or ability to obtain within 150 days.
• State securities agent registration (S63 or S66) or ability to obtain within 150 days.
• Experience working in a client service environment.
• Detail-oriented, strong math, and analytical skills. Good organization and time management skills.
• Able to manage multiple priorities and prioritize effectively. Able to independently work with minimal direct supervision.
• Able to communicate with all levels within the organization. Process oriented and can work with a team.
• Strong computer and software skills. Preferred Qualifications:
• State IAR registration (S65 or S66) or ability to obtain within 150 days.
• Life, Accident, and Health licenses & Variable Contracts or ability to obtain within 150 days.