JOB SUMMARY

Registered Client Service Associate

Fayetteville, NC

 
POSITION SUMMARY

The Registered Client Service Associate position is an empowering, customer service orientated role. This position will focus on enhancing the overall experience by providing unparalleled client service while also serving as administrative and operational support to the firm. The ideal candidate is a team player with a cheerful, positive attitude and a desire to learn and improve their knowledge of the financial services industry and the practice. This role is the “window” into the practice as they are the first point of contact for clients and prospects. If you are looking for a company who values serving others and makes a difference in their clients lives each and every day, this is the opportunity for you!



 
Essential Duties and Responsibilities:
  • Serve as the front office lead to include welcoming clients and visitors to the office; responsible for ensuring all client needs are promptly and accurately addressed; politely answer telephone calls; address calls as appropriate or take detailed messages as needed
  • Responsible for accurately answering initial questions from perspective or new clients
  • Review and respond to all electronic correspondence; promptly address issues and concerns with professionalism and attention to resolution
  • Responsible for all new account setups, ensuring all documentation is filled out correctly, and proactively address and follow-through on client service requests
  • Establish and maintain client files to meet regulatory and compliance requirements, create and produce reports and databases for maintaining files and record keeping
  • Prepare deposits and scan incoming checks; process receipt of physical security certificates; maintain Time Stamp log; create and accurately process ACH’s and money transfers, journal entries, payments via check to outside vendors
  • Create and close accounts; add power of attorney and trading authority as applicable, link life insurance and annuity accounts, complete client registrations and proactively address and follow-through on client service requests

 
Required Qualifications:
  • Bachelor or Associates degree preferred; completed college coursework in conjunction with work experience will also be considered
  • FINRA Series 7 or Series 66 (or 63 and 65) required
  • 5+ years of financial services experience preferred

 
Desired Traits:
  • Excellent oral, written and interpersonal communication skills; well-spoken both on the phone and in person; exudes a courteous, friendly, and professional demeanor
  • Outstanding planning and organizational skills, efficient multi-tasker, effective follow-up, deadline focused; detail oriented and demonstrates a commitment to accuracy by delivering high quality work
  • Possesses strong work ethics and morals; is driven and motivated to advancing their career through hands on experience and evolving industry knowledge
  • Energetic, eager to learn, team player, willing to cooperate; self-motivated with ability to work both independently and under direction
  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment; adapts to change in the work environment, manages competing demands and multiple interruptions

 
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