Central Investment Center - Registered Client Service Associate

Central-Bank-; Lexington (KY); On-site; USD 36,000 - 45,000; Full time

Benefits offered by this job

Health Insurance

Dental Insurance

Vision Insurance

Paid Vacation

Paid Holidays

401k Plan

Employee Stock Ownership Plan

Flexible Benefit Plan

Life Insurance

AD&D Insurance

Job summary

Central Investment Center in Lexington, KY is seeking a Registered Client Service Associate to provide sales support and administrative duties for Financial Advisors. The role requires licenses such as FINRA Series 7 & 63 (or willingness to obtain) and a life insurance license is preferred, with 1+ years in brokerage.

The job includes answering calls, preparing client paperwork, and coordinating meetings. The position pays $25.95–$32.44 hourly and is based full-time in Lexington, with

Qualifications

• Bachelor’s degree preferred
• FINRA Series 7 & 63 licenses
• Life Insurance License preferred
• One+ years’ experience in brokerage industry
• Knowledge of investments required

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 Jasons 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

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

8 days ago Requisition ID: 3242

Salary Range: $25.95 To $32.44 Hourly

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

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 Jasons 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)