Client Associate or Registered Client Associate

D.A. Davidson’s Special District Group; Newport Beach (CA); Presencial; USD 36.000 - 44.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Medical, Dental and Vision

401(k) and ESOP

Sick, vacation, and parental leave

Paid holidays

Tuition Reimbursement

Discounted insurance

Charitable gift-matching

Davidson Day of Giving

Descripción de la vacante

D.A. Davidson Companies in Newport Beach, CA seeks an exceptional individual to join our high-producing team. The role requires licensing readiness, strong client service, and meticulous attention to detail in handling accounts and regulatory duties.

The position supports Financial Advisors with financial plans, client communications and event activities while ensuring adherence to branch and firm policies. Strong multitasking is essential.

Formación

• Licensing in SIE and Series 7 is required or the ability to obtain licensing.
• Knowledge of securities products including stocks, bonds, funds, annuities and insurance.
• Strong written and verbal communication and client service skills.
• Mature integrity, confidentiality and attention to detail.
• Ability to manage multiple demands in a deadline-driven environment.

Responsabilidades

• Provide professional client service and support regulatory requirements.
• Adhere to branch, firm and compliance policies and procedures.
• Review and process account documents and communicate activity to the FA.
• Assist with comprehensive financial plans for clients.
• Assist in client communications and event planning.
• Assist with transfers of funds/securities and check issuance.
• Enter stock, bond, options and mutual fund orders.
• Provide administrative support to FA and Branch Manager.

Conocimientos

SIE licensing

Series 7

Series 66/63/65

Excellent communication

Problem solving

Client service

Attention to detail

Multi-tasking

Educación

High school diploma or equivalent

Post-secondary education preferred

Herramientas

Thomson ONE

Envestnet

CRM

Money Guide Pro

Microsoft Word

Excel

Outlook

Descripción del empleo

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning 90 years. We are dedicated to conducting our business in accordance with the highest standards of integrity and ethics, and delivering outstanding service to our clients and each other. We support a friendly, open and supportive culture, and encourage candid communication and productive engagement that make our companies and each of us better. Just as we work to improve our clients’ financial well-being, we also work to strengthen local communities—and giving back is one of our core values. You can learn more about our company culture and impact in our latest annual report.

Summary/Function

We are currently seeking an exceptional individual to join a dynamic and high-producing team in our Newport Beach, CA office. This team-critical role requires outstanding attention to detail, the ability to balance multiple requests, outstanding client service skills, and a high level of integrity and confidentiality with respect to client, FA, branch and company information.

Primary Qualifications:

• Successful completion of the (SIE) Securities Industry Essentials and FINRA General Securities Representative (Series 7) Exam and Uniform Securities State Law Exam (Series 66 [or Series 63/65]) or the ability to obtain licensing is required.
• Significant knowledge of the securities industry, its operations and products to include stocks, bonds, margin accounts, options, mutual funds, annuities and insurance products.
• High school graduate. Post-secondary education, or comparable work experience preferred.
• Solid technology skills (Microsoft Word, Excel and Outlook). Experience with Thomson ONE, Envestnet, CRM, Money Guide Pro preferred.
• Excellent communication (written and verbal), problem solving and client service skills.
• Strong attention to detail and accuracy including the ability to perform semi-advanced math.
• Ability to successfully handle multiple demands and competing priorities in a deadline-oriented environment.
• Proven ability to manage multiple demands and competing priorities in a deadline-oriented environment.
• Ability to maintain regular, predictable attendance and to work overtime as needed.

Primary Duties:

• Provide exceptionally professional and courteous customer service supporting client satisfaction including effectively articulating certain requirements in a regulatory environment.
• Adherence to all Branch, Firm and Compliance policies, procedures, rules and regulations.
• Review, maintain and process account documents and information - Inform FA of meaningful information and activities related to client accounts and transactions including suspicious activity.
• Assist FA with comprehensive financial plans for current and prospective clients.
• Assist FA in developing and implementing periodic client mailings, communications and events.
• Facilitate the transfer of client funds and/or securities and the issuance of checks upon request.
• Enter orders to include buy/sell stock and bond trades, sell stop orders, option and margin trades and mutual funds.
• Provide administrative support, including but not limited to phone, correspondence, appointments, filing and other projects as assigned by the FA and/or Branch Manager.
• Other projects and duties as assigned!

What we offer:

Competitive salary plus excellent benefits and perks including, but not limited to:

• Medical, Dental and Vision
• Company 401(k)and ESOP contribution
• Generous sick, vacation, and maternity/parental leave
• Paid holidays
• Professional Development Opportunities
• Tuition Reimbursement ($15,000 lifetime cap)
• Discounted personal insurance including home, auto and recreational vehicles
• Charitable gift-matching program
• Davidson Day of Giving – Our tradition of positively impacting communities in which we live and work.

The potential base pay hiring range for this role is $26.00 to $32.00 per hour. The compensation offered will be determined on a case‑case basis considering a variety of factors including, but not limited to, the skills, relevant work experience, and geographic location of each specific candidate.

D.A. Davidson has been in business for 90 years! As an employee-owned company, our success is driven by our high standards of business ethics, integrity and the belief that our Associates are our most important assets. We hope you will consider joining us!

$26 - $32 an hour

At D.A. Davidson, we are committed to fostering a diverse environment that supports the development and inclusivity of all employees.

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.