Under immediate supervision, Client Services Associate
(Registered) assists one or more Financial Advisor(s) (FA(s)) with
the opening and maintenance of client accounts and records,
performs a wide variety of administrative support duties, including
but not limited to, word processing, preparing mailings, filing,
answering the phone, obtaining approvals for FA(s) communications
and advertisements, provides overall customer service support to
clients, may enter trades as directed by the FA(s).
" Performs clerical functions related to opening client accounts
and ongoing account coding based on account features chosen by the
" Works with the FA(s) and the client in obtaining the required
documents based upon the type of account(s) established.
" Provides quotes and other account-related information to
" Organizes and assists in the maintenance of complete client
account and trade- related records for the FA(s) and certain
required files for the branch office.
" Performs operational or administrative functions for client
related requests (i.e., check requests, wiring funds, address
change, dividend information, etc.).
" Provides reports and other information to FA(s), as
" Performs calling activities, not limited to existing clients,
using scripts approved by a principal of Advertising and Graphics.
Registered Client Service Associates may highlight a service or
product but may not discuss products or investments beyond a point
that the discussion becomes a solicitation where the specific
appropriateness of the investment or the suitability of the client
becomes a factor.
" Accepts and enters unsolicited orders from clients in states
in which they are registered and may enter orders received directly
from a FA who is registered in the client's state of residence.
" Identifies situations that need to be brought to the attention
of the FA(s) or escalated to the Branch Manager; including
suspicious client and/or employee activity or behavior.
" Performs various administrative duties (i.e., typing, filing,
answer phones, mailing documents/letters, etc.) and other duties
and projects as assigned by the FA and/or Branch Manager.
Minimum Required: High School Diploma or equivalent
Desired: 2 years college or business school certificate
Minimum Required: 2 years investment industry experience
Desired: 5 years investment industry experience
LICENSES & CREDENTIALS
Minimum Required: Series 7 and 63 or 66