Central Investment Center - Registered Client Service Associate

ADP, Inc.; Lexington (KY); On-site; USD 54,000 - 67,000; Full time

Benefits offered by this job

Health Insurance

Dental Insurance

Vision Insurance

Paid Vacation

Paid Holidays

401k Plan

Flexible Benefit Plan

EAP

Discounted Banking Services

Employee Stock Ownership Plan

Sick Leave

Educational Assistance Program

Long Term Disability

Life Insurance (2x salary)

Job summary

Central Investment Center in Lexington, KY is seeking a Registered Client Service Associate to support Financial Advisors with daily sales tasks and client service. The role involves calls, meetings, and light office duties.

Qualifications include a Bachelor's degree (preferred), FINRA Series 7 & 63 licenses, and 1+ year brokerage experience. Insurance license preferred. Strong communication and organization are essential.

Qualifications

• Bachelor’s degree preferred
• FINRA series 7 & 63 licenses
• Life Insurance License preferred
• 1+ years’ experience in brokerage industry

Responsibilities

• Assist CIC Financial Advisors with daily sales support.
• Liaise between Financial Advisors and clients per FINRA guidelines as a registered sales assistant.
• Answer calls, provide telephone support, schedule appointments, and prepare client meeting materials.
• Open CIC office to the public and handle basic entry tasks.
• Prepare client paperwork and follow-up tasks for advisors.
• Process trades as instructed on behalf of clients.
• Proactively reach out to clients and advisors for time-sensitive activities.
• Discuss client service needs via phone, virtual visits, and in person.
• Schedule and prepare client financial review meetings.
• Handle IRA and Preferred account distribution requests, including trades.
• Own inquiries and coordinate with internal departments for timely service.
• Respond to mail and email related to client requests.
• Maintain compliance with company, state, and federal rules.
• Submit and track marketing items for approval.
• Keep office organized and filing current.
• Record client communication notes in CRM per standards.
• Use back-office system for client accounts and new numbers.
• Provide daily deposit backups and ledger entries.

Skills

Strong work ethic

Prioritize tasks

Planning & solving

Written & verbal communication

Dependability & accuracy

Time management

Customer service

Investment knowledge

Education

Bachelor’s degree preferred

FINRA series 7 & 63 licenses

Life Insurance License preferred

1+ years brokerage experience

Job description

If you are unable to complete this application due to a disability, contact this employer to ask for an accommodation or an alternative application process.

Central Investment Center - Registered Client Service Associate

Fulltime Hourly Full-Time Lexington, KY, US

Salary Range: $25.95 To $32.44 Annually

Equal opportunity employer as to all protected groups, including protected veterans and individuals with disabilities

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JOB SUMMARY:

Provides sales support and administrative duties for the Financial Advisors of Central Investment Center.

EDUCATION/EXPERIENCE REQUIRED:

• Bachelor’s degree preferred
• FINRA series 7 & 63 licenses
• Life Insurance License preferred
• One+ years’ experience in brokerage industry

QUALIFICATIONS/SKILLS REQUIRED:

• Strong work ethic
• Ability to prioritize several tasks
• Good planning and problem-solving skills
• Excellent written and verbal communication skills
• Dependability and accuracy
• Strong problem solving, organization and time management skills
• Commitment to customer service
• Knowledge of investments required

ESSENTIAL JOB DUTIES AND RESPONSIBILITIES:

• Assist all CIC Financial Advisors with daily sales support.
• Act as a liaison between the Financial Advisors and their clients while following FINRA guidelines as a registered sales assistant.
• Answer incoming calls and provide telephone support for CIC Financial Advisors, schedule appointments, and prepare materials for client meetings.
• Opens CIC office to the public which may include disarming the alarm and turning on lights.
• Prepare and complete client paperwork and follow up tasks to support the Financial Advisors.
• Assist with processing of business as levels dictate, including entering trades as instructed by a client or a registered representative on behalf of a client.
• Conduct proactive outreach to clients and Financial Advisors on time sensitive activities (e.g. RMDs, Clients’ quarterly and annual reviews).
• Spend time with clients on the phone, via virtual visits, and in person to ensure client service level needs are met.
• Set client financial review meetings based on client service level agreement & prepare follow up meetings based on needs.
• Processes client requests for IRA and Preferred account distributions, including placing trades, where appropriate.
• Assume ownership of inquiries and requests; communicate with internal departments to ensure client’s expectations for timely service delivery are met.
• Handle mail and respond to email as it relates to the processing of client requests.
• Maintain compliance of operations as applicable to company, state and federal rules and regulations.
• Submit marketing items for approval and maintain records of marketing pieces.
• Maintains organization of office and filing.
• Maintain client communication notes in CRM while following internal standards in a timely manner.
• Use the Raymond James back office support system for client accounts. Assist with obtaining new account numbers.
• Provide backup for making daily deposits and input details on the Raymond James system, balancing both records.
• Log daily account information, copy and fax to Raymond James for processing. Log incoming checks, copy and overnight mail to Raymond James for processing.
• Maintain tickler file to submit requests in a timely manner and day-to-day follow through on requests.
• Educate clients on account services, capabilities, and new technology.
• Complete required corporate training on new technologies and follow implementation guidelines.
• Perform general administrative services and other duties as assigned.

BENEFITS:

• Health Insurance
• Dental Insurance
• Vision Insurance
• Paid Vacation
• Paid Holidays
• Employee Stock Ownership Plan
• 401k Plan
• Flexible Benefit Plan
• Voluntary Life Insurance
• AD&D Insurance
• Discounted Banking Services
• EAP (Free counseling sessions)
• Discounted AAA Membership
• Fitness Discounts
• Vacation Purchase Plan
• Interest-Free Computer Loan
• Interest-Free Fitness Equipment Loan
• Service Awards
• Attendance Awards
• Funeral Leave
• Subsidized Parking (Downtown)
• Sick Leave
• Educational Assistance Program
• Employee Wellness Program
• Dell Computer Discount
• Discounted Tickets
• Cell Phone Discount
• Jeans days to benefit local charities
• Paid Identity Theft Protection
• New Hire Incentive (for hourly employees)
• Personal Day
• Birthday Holiday
• Wedding Days
• Appointment Time
• Long Term Disability
• Life Insurance (2x salary)