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Client Service Associate
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Full-time
- The Client Service Associate supports the Financial Advisor (FA) in the daily administration of their business by opening new accounts, preparing and processing investment documentation, and maintaining all related files and paperwork.
- Support the daily administration of the Financial Advisor's business by opening new client accounts, preparing and processing account specific and investment related documentation, facilitating outgoing disbursements and incoming deposits of funds and securities, maintaining current and accurate client information.
- If registered with FINRA, accept, enter and confirm all types of solicited and unsolicited trade orders from clients or as directed by a Financial Advisor or other registered employee
- Understand and adhere to internal policies and industry regulations; proactively identify and escalate matters that require additional scrutiny including suspicious activity, customer complaints, trading errors, and violation of industry regulation or Firm policy.
- Series 7 and 66 preferred.
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