Sr Registered Client Associate-Private Client Group

Location: Waukesha, WI, United States
Date Posted: 07-09-2018
  • Provides sales practice as well as overall administrative and operational client service support to assist the business activities of the Financial Advisor(s).
  • Interfaces directly with clients may solicit orders from clients, provide investment advice to clients, and cold call potential clients for brokerage accounts, under the direction of the Financial Advisor and as securities licensing and registrations permit.
  • Provides assistance to the Financial Advisor by furnishing account information and quotes, establishing new accounts, and processing deliveries and/or payments.
  • Performs various administrative functions for the Financial Advisor(s) and/or Branch Manager including, but not limited to, preparing forms and reports from rough drafts, as well as preparing and/or originating correspondence for the Financial Advisor, which may include marketing campaigns.
  • May originate their own administrative or operational related correspondence on accounts with the approval of the Financial Advisor. Handles telephone calls, requests for research reports and researches account problems.
  • Establishes and maintains files to meet regulatory requirements, creating and producing reports and databases, establishes and maintains filing and record keeping necessary to support sales efforts. Provides knowledge and systems support to branch personnel and training for entry-level assistants.
Required Qualifications 
  • 5+ years of financial services experience
  • Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify for immediate registration (or FINRA recognized equivalents)
  • Strong client service skills
  • Strong attention to detail and accuracy skills
  • Effective organizational, multi tasking, and prioritizing skills
  • Good verbal, written, and interpersonal communication skills
  • Brokerage client support experience
  • Client services experience
  • Client support experience
  • Knowledge and understanding of actuarial pricing or valuation of life or annuity products
Job Expectations 
•Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition state registration, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. We will initiate the FINRA review process at the time of offer acceptance.
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