Brokerage Registered Client Service Associate - Ponte Vedra, FL

Aplaro Ltd; Ponte Vedra Beach (FL); On-site; USD 48,000 - 60,000; Full time

Job summary

Aplaro Ltd in Ponte Vedra Beach, FL is seeking a client-facing support role to assist Financial Advisors with servicing clients and administrative tasks. The position is located at 814 A1A North, Ponte Vedra, Florida, and operates Monday through Friday.

Responsibilities include preparing financial plans, processing trades, entering data in Salesforce, scheduling meetings, and supporting client communications while maintaining professional standards and confidentiality.

Qualifications

• Bachelor's degree or equivalent experience and related training.
• Experience in the securities industry and/or a sales assistant role.
• Knowledge of securities markets and brokerage accounts.
• Knowledge of the features and attributes of annuity products.
• FINRA SIE, Series 7 and Series 66 licenses or ability to obtain during employment.
• Exceptional telephone skills and the ability to interact with clients professionally.

Responsibilities

• Assist Financial Advisors in servicing clients including preparing financial plans, conducting investment research and completing client trades and transactions.
• Receive and place orders as directed from Financial Advisor and assigned clients; respond to market queries and trading features.
• Process corporate actions where a license is warranted; manage scheduling and data entry in Salesforce; coordinate meetings and client communications.
• Ensure new business paperwork is accurately submitted, obtain signatures, and follow up on documentation.
• Mitigate risk through authentication of client calls and high-risk transactions.

Skills

Securities industry experience

Brokerage knowledge

Annuity product knowledge

Telephone communication

Time management

Professional communication

Education

Bachelor’s degree

FINRA SIE license

Series 7 license

Series 66 license

Tools

Salesforce

Job description

The position is described below.

Need Help?

If you have a disability and need assistance with the application, you can request a reasonable accommodation. Send an email to Accessibility (accommodation requests only; other inquiries won't receive a response).

Regular or Temporary: Regular Language Fluency: English (Required) Work Shift: 1st shift (United States of America)

This position is located at 814 A1A North, Ponte Vedra, Florida - Monday - Friday.

Responsible for the general servicing and support of the Financial Advisors. This includes administrative and operational support, business development assistance, and providing a consistent and effective level of client servicing when the Financial Advisor is unavailable.

ESSENTIAL DUTIES AND RESPONSIBILITIES

Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.

• Assist Financial Advisors in servicing clients including preparing financial plans, conducting investment research and completing client trades and transactions.
• Receive and place orders as directed from Financial Advisor and assigned clients. Reply to queries regarding general market information such as quotes and news, as well as trading and order features such as GTC expiration dates and settlement.
• Process corporate actions where a license is warranted, such as tender offers, optional dividends and the exercise of warrants and rights.
• Schedule and confirm client appointments, enter data in SalesForce, create meeting agendas and summaries, prepare/coordinate marking events and perform general administrative functions such as answer and return calls, manage the expense report process, prepare routine client correspondence and perform maintenance of client records.
• Manage the financial advisor's calendar to maximize the appointments' productivity by minimizing travel time and anticipating the time frame required for presentation and answering of questions.
• Maximize sales opportunities by contacting potential investment clients based on internal and bank leads. Use product and industry knowledge to identify existing client, account, and product attributes that present sales potential.
• Provide operational guidance to Financial Advisors ranging from systems navigation to document fulfillment.
• Ensure new business paperwork is accurately successfully submitted. This includes preparing forms to be presented to clients, obtaining appropriate signatures, submission and follow-up of new account documentation.
• Mitigate risk through appropriate authentication standards. This includes the authentication of incoming and outgoing client calls. Required to perform authentication callbacks for high risk transactions, such as third party distributions, profile changes and wires.
• Maintain a professional environment and create a positive impression.
• Submit and process certain operational requests as instructed by the Financial Advisor and/or client. These may include: funds distributions, deposits of checks, journals, client and account updates, ACAT initiation and other operational tasks.
• Work in coordination with the Financial Advisor to ensure certain reports are reviewed and addressed, such as insufficient funds for periodic distributions and RMDs not met.
• May assist with physical branch location needs, such as opening, closing, general requests for maintenance or service.

QUALIFICATIONS

Required Qualifications: The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

• Bachelor's degree or equivalent experience and related training.
• Experience in the securities industry and/or a sales assistant role.
• Knowledge of securities markets and brokerage accounts.
• Knowledge of the features and attributes of annuity products.
• FINRA SIE, Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses. (Candidates will be considered if they are currently partially licensed and can obtain the additional license(s) during employment.)
• Exceptional telephone skills and the ability to appropriately interact with clients of all experience levels regarding securities transactions and brokerage accounts.
• Effective time management skills.
• Ability to communicate effectively and professionally with clients, managers and other teammates.
• Ability to evaluate, assimilate and utilize detailed and comple