Client Services Associate, Registered – Investments (Seattle)

Dadavidson; Seattle (WA); On-site; USD 41,328 - 49,593; Full time

Benefits offered by this job

Medical, Dental and Vision coverage

Company 401(k) and ESOP contribution

Paid holidays

Job summary

D.A. Davidson in Seattle, WA is seeking a capable Client Associate to join our high performing team.

This role requires meticulous attention to detail, the ability to juggle multiple requests, and strong client service skills in a confidential environment. You will support financial advisors by handling account documents, processing transfers, and preparing comprehensive financial plans, while adhering to regulatory policies.

Qualifications

• Requires SIE, Series 7, and Series 66/63/65 licensing or ability to obtain licensing.
• Significant knowledge of the securities industry, its operations and products.
• Previous experience as a Registered Client Associate is preferred.
• Post-secondary education is preferred.

Responsibilities

• Provide professional and courteous customer service supporting client satisfaction, including regulatory communication.
• Adhere to Branch, Firm and Compliance policies and regulations.
• Review and process account documents; inform advisors of meaningful activities.
• Assist advisors with comprehensive financial plans for clients.
• Assist in developing periodic client mailings, communications and events.
• Facilitate transfer of client funds and securities and issue checks on request.
• Enter buy/sell orders for stocks, bonds, options, margin trades and mutual funds.
• Provide administrative support and other projects as assigned.

Skills

Attention to detail

Client service

Communication skills

Multi-tasking

Regulatory environment understanding

Education

Post-secondary education preferred

Tools

Thomson ONE

Envestnet

CRM

Money Guide Pro

Job description

D.A. Davidson in Seattle, WA is seeking a capable Client Associate to join our high performing team.

This role requires meticulous attention to detail, the ability to juggle multiple requests, and strong client service skills in a confidential environment. You will support financial advisors by handling account documents, processing transfers, and preparing comprehensive financial plans, while adhering to regulatory policies.