Client Services Associate — Financial Advisory Support

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

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