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Client Associate

Summary:

Provide administrative and operational support for one or more Financial Advisors (FAs). The support provided will vary depending on the requirements of the FAs and the branch. The position is required to maintain a high-degree of confidentiality with respect to client, FA, branch, and company information.

Qualifications:

Individual filling this position should have the following qualifications:

  • Willingness to learn the securities industry, its operations and its products to include stocks, bonds, margin accounts, options, various retirement plans (IRAs, Simple, Roth) mutual funds, and annuities.
  • Proficient computer skills (working knowledge of Microsoft Word, Excel, and Outlook).
  • Mathematical aptitude.
  • Strong communications skills; verbal and written.
  • Good organizational and problem-solving skills.
  • Attention-to-detail.
  • Ability to manage multiple demands and competing priorities in a deadline-oriented environment.
  • Ability to maintain a high level of confidentiality.
  • Ability to work in a computerized environment.

Duties:

  • Provide professional and courteous customer service at all times to ensure client satisfaction.
  • Inform FAs of all important information and activities related to their client’s accounts and transactions in a timely manner.
  • Maintain a working knowledge of Branch Guide to Operations and ensure adherence to all Branch, Firm, and Compliance policies, procedures, rules, and regulations.
  • Facilitate the transfer of client funds and/or securities at the direction of the FA.
  • Review and maintain all account documents and information.
  • Compose letters and memoranda in accordance with established policies and procedures.
  • Provide backup for other support positions in the branch as-needed.
  • Perform any other duties and special projects as necessary.
  • Posted: Apr 06, 2017

  • Location: Port Angeles, WA