Client Associate

ESSENTIAL DUTIES AND RESPONSIBILITIES

• Complete new account and transfer account forms.
• Answer telephones, take messages, make copies, and mail printed material.
• Type correspondence, reports, account information, pair off letters, etc. from drafts, transcriptions, memos and various forms.
• Maintain files of confidential and routine material and information.
• Assist Financial Consultants and/or customers and provide information as appropriate.
• Assist assigned sales staff in resolution of routine problems with accounts by researching and compiling appropriate information for their use.
• Maintain miscellaneous records for Financial Consultants such as appointment schedules, commission accounts, trades executed, etc.
• Schedule business trips for Financial Consultants, coordinate with customers while Financial Consultants is out of office, and assist with filing expense reports for Financial Consultants.
• Perform other related duties as assigned by management.

EDUCATION AND/OR EXPERIENCE

• Bachelor's degree in a related field.
• 1+ years of related experience and/or training.
• Equivalent combination of education and experience.

CERTIFICATIONS, LICENSES, AND REGISTRATIONS

• SIE - Securities Industry Essentials within 6 months.
• Series 7 - General Securities Representative within 6 months.
• Series 63 - State Law Exam or Series 66 - Combined State Law within 6 months.

REQUIRED TESTING

• Microsoft Word
• Excel
• Alpha/Numeric Data Entry

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