Job Overview  

We are seeking a Licensed Client Services Associate for a financial services company who focuses on helping people about their finances. This position will be under general supervision and uses advanced skills gained through training and experience to provide proactive support to financial advisors and assist with efficient, quality client service. It follows established procedures to perform routine tasks and receives general guidance and direction to perform other work with substantial variety and complexity requiring limited decision-making responsibility. Extensive contact with internal and external clients to resolve most questions and problems and refers new or unusual issues to a higher level. 

Essential Duties and Responsibilities 

• Interacts daily on the phone and in person with prospective and existing clients, including handling basic inquiries and providing quotes. 
• Solicits and receives orders for the Financial Advisor. 
• May enter unsolicited trades at the direction of the Financial Advisor. 
• May service fewer active accounts. 
• Researches client and security information through the back-office system. 
• Processes and follows up on client documentation for proper maintenance of accounts. 
• Prepares letters, forms, and spreadsheets to assist with servicing existing clients and prospecting for new clients. 
• Creates and maintains records and files. 
• Ensures required client paperwork is current with firm and industry requirements, rules and regulations. 
• Maintains databases and creates reports using portfolio software programs. 
• Assists Financial Advisors with marketing efforts including seminars, etc. 
• Receives and processes securities. 
• Participates in and receives cross-training, as well as assists with other operational functions as required. 
• Performs other duties and responsibilities as assigned. 

Qualifications 

• Company’s working structure, policies, mission, and strategies. 
• General office practices, procedures, and methods. 
• Investment concepts, practices and procedures used in the securities industry. 
• Financial markets and products. 
• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases. 
• Analyzing to be able to research account information. 
• Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment. 
• Handle stressful situations and provide a high level of customer service in a calm and professional manner. 
• Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels. 
• Use mathematics sufficient to process account and transaction information. 
• Work independently. 
• Provide a high level of customer service. 

Basic Qualifications 

• Detail oriented with superior organizational skills and ability to prioritize tasks. 
• Strong computer skills and knowledge of Microsoft Office products. 
• Team player with the ability to collaborate with others. 
• Proficient with general office applications 
• Strong organizational and customer service skills. 
• Skill in preparing written communications and materials. 
• Interpersonal skills: such as telephone skills, communication skills, active listening, customer care and self-motivated. 
• Supports company’s working structure, policies, mission, and strategies. 
• General office practices, procedures, and methods. 
• Investment concepts, practices and procedures used in the securities industry; 
• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases. 
• Analyzing to be able to research account information. 
• Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment. 
• Handle stressful situations and provide a high level of customer service in a calm and professional manner. 
• Use appropriate interpersonal styles and communicate effectively, both orally and in writing, at all organizational levels. 
• Use mathematics sufficient to process account and transaction information. 
• Works independently. 

Education/ Experience Requirements 

• College or university program certificate equivalent and a minimum of two years of financial services industry experience or an equivalent combination of experience, education, and/or training.
• Ability to read, analyze, and interpret general business periodicals, professional journals, technical procedures, or governmental regulations.  
• Ability to write reports, business correspondence, and procedure manuals.  
• Ability to effectively present information and respond to questions from groups of managers, clients, customers, and the general public. 
• Ability to calculate figures and amounts such as discounts, interest, commissions, proportions, percentages, area, circumference, and volume.  
• Ability to apply concepts of basic algebra and geometry. 
• Ability to solve practical problems and deal with a variety of concrete variables in situations where only limited standardization exists.  
• Ability to interpret a variety of instructions furnished in written, oral, diagram, or schedule form. 

Computer Skills

To perform this job successfully, an individual should have knowledge of the following: 

• Word Processing software  
• Spreadsheet software 
• Accounting software 
• Inventory software 
• Internet software 
• Order processing systems and Project Management software. 

Licenses/Certifications 

• SIE required provided that an exemption or grandfathering cannot be applied. 
• Series 7 required. 
• Series 63, 65 and/or 66 as required by state. 

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