Part-Time Registered Client Associate

Brief Description:
This is a registered sales support position, typically providing dedicated administrative and sales support to multiple Financial Advisors or Private Wealth Advisors.  Incumbents may also on a regular basis support office initiatives, in addition to the businesses of particular Financial Advisors.  The position requires frequent client contact, typically by telephone, but also in-person, by correspondence, and by email.  The position is overtime eligible.Job Responsibilities:


The most frequent decisions will involve resolving client inquiries and complaints and determining which issues require immediate elevation to an FA or a member of the management team.  As a registered employee, the RCA may be directly involved in prospecting for new business, and in prospecting existing clients for new product and service offerings.  In doing so, the RCA may be determining which clients are most appropriate to contact for specific initiatives.  As a registered employee, the RCA may place certain unsolicited orders, for designated clients, under FA supervision.

 

For established clients, the RCA will often be the most frequent contact, handling routine inquiries and resolving minor problems.  Having such frequent contact makes the RCA a key contributor to client satisfaction and client retention, both of which are essential to growth in revenue and profitability.  In addition, to the extent that the RCA can handle most routine matters involving account administration and maintenance, the time of Financial Advisors can be better focused on asset-gathering and revenue generating opportunities.

 The position is important in both the Advisory Division?s efforts to dramatically increase client retention and in its implementation of the client segmentation strategy.Qualifications:


 Series 7 and Series 63/65 or 66 registration is required prior to promotion, transfer, or hiring into this position.  A high level of knowledge about products, procedures, regulations, and policies is required.  Familiarity and skill with common computer applications such as Microsoft Word and Excel is required.  The position also requires well-developed self-management, social, and communication skills to deal positively and constructively with clients and other employees in stressful situations.  Strong attention to organization, detail, and effective use of time is also required.

A college degree or equivalent experience is desired, but not required.
Series: 66, 66, 65, 65, 7,


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