Join our Team

Our employees are the reason for our success and, as an employee-owned company, they
share in that success. We welcome you to explore the opportunities to join our team.

Cashier, Receptionist


Provide administrative, operational and clerical support for the branch as well as 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 the FA, branch, and company information.


  • Proficient computer skills (working knowledge of Microsoft Word, Excel and Outlook)
  • Ability to operate a PC, postage machine and scale, telephone and photocopier.
  • Mathematical aptitude
  • Strong communication skills; verbal and written.  Ability to use appropriate, professional language and grammar to effectively exchange ideas and information.
  • Familiar with Federal postal regulations with regards to postage and insurance rates and sorting requirements. Familiar with UPS/FEDEX shipping systems.
  • High school diploma, GED or comparable work experience in an office setting.
  • Attention to detail, organizational, alphabetizing, and problem solving skills.  Manage multiple demands and competing priorities.
  • Ability to proactively work with both external and internal clients.  Relate with others in a professional manner in order to accomplish work responsibilities and objectives.
  • Ability to work effectively in a fast-paced, deadline oriented environment.
  • Ability to maintain regular, predictable attendance.


  • Provides professional, courteous, customer service at all times to ensure client satisfaction.
  • Receives stock certificates and prepares a receipt if required. Records certificate in the log. Submits stock certificate insurance lot at month-end to Accounting.
  • Prepares receipts for received securities and process according to established procedures.
  • Process check requests from client accounts as requested. Review TRAX request for accuracy and ensures proper paperwork and authorizations are on file.
  • Provides receipts to clients for deposit of checks.
  • Works with Client Associates and/or Financial Advisors to gather additional information as needed for deposits for disbursements.
  • Process daily check deposits.
  • Maintains daily cashiering file according to the Branch Standardization procedures.
  • Maintains a working knowledge of Branch Guide to Operations and ensures adherence to all Branch, Firm and Compliance policies, procedures, rules and regulations.
  • Maintains a working knowledge of balance screens and TRAX work flow.
  • Assists Client Associates with tasks as needed and or assigned.
  • Receives, screens and returns phone calls. Takes messages, transfer calls, answer routine questions and provides information when possible.
  • Greet visitors. Determines the nature of the visit. Contacts appropriate personnel and announces guest.
  • Date stamps incoming correspondence. Photocopies incoming/outgoing correspondence and presents to Branch Manager for review.
  • Receives in mail, sorts, processes, and distributes.
  • Prepares outgoing mail. Determines and affixes appropriate postage. Prepares packages for shipment.
  • Distributes confirmations. Organizes and maintains the branch copies.
  • Ensures adherence to all Branch, Firm and Compliance policies, procedures rules and regulations.
  • Performs other duties as assigned.
  • Posted: Apr 06, 2017

  • Location: Carlsbad, CA