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Description
Job Description:
The Client Services Associate plays a vital role in supporting the Financial Advisor (FA) in the daily operations of their business, with a focus on client service and administrative tasks. This position requires prior investment experience and entails interacting with clients regularly to ensure their needs are met and their accounts are managed efficiently.
Essential Duties & Responsibilities:
Client Account Administration: Assist the Financial Advisor in opening new client accounts, processing account-specific and investment-related documentation, and managing outgoing disbursements and incoming deposits of funds and securities. Ensure all client information is accurate and up-to-date.
Trade Order Management: If registered with FINRA, accept, enter, and confirm all types of solicited and unsolicited trade orders from clients, or as directed by the Financial Advisor or other registered employee.
Client Relationship Management: Develop and maintain strong client relationships by promptly responding to inquiries, anticipating client needs, and providing relevant account information, market updates, and company research.
Record Keeping: Maintain accurate and complete account and trade records/files in accordance with Firm policy and industry regulations.
Compliance: Understand and adhere to internal policies and industry regulations. Proactively identify and escalate any issues requiring additional scrutiny, such as suspicious activity, customer complaints, trading errors, or violations of regulations or Firm policy.
Administrative Tasks: Assist in various administrative tasks, including marketing campaigns, scheduling and coordinating client meetings and seminars, planning team travel, and processing business expenses.
Branch Initiatives: Contribute to and participate in branch-wide initiatives and projects as needed.
Requirements
Qualifications:
Education: High school diploma or equivalent required. College degree preferred but NOT required
Experience: 2+ years of experience in the Financial/Securities industry preferred.
Certifications: Series 7 and 66 preferred but NOT required
Financial Markets Knowledge: Strong understanding of financial markets, including the analysis and reporting of financial data, and associated terminology.
Regulatory Understanding: General understanding of securities regulations and principles.
Client Service Focus: Demonstrated focus on providing exemplary client service.
Communication Skills: Excellent interpersonal skills and proficiency in written, verbal, and non-verbal communication required.
Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles.
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All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information.
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