Financial Services Client Associate — Planning & Trading

Dadavidson; Pasadena (CA); On-site; USD 41,328 - 44,083; Full time

Benefits offered by this job

Medical, Dental and Vision

Company 401(k) and ESOP

Generous paid time off

Paid holidays

Professional development opportunities

Tuition reimbursement

Insurance discounts

Charitable gift-matching program

Community involvement programs

Job summary

D.A. Davidson in Pasadena, CA is seeking an exceptional Registered Client Associate to join a dynamic, high-producing team.

This role requires outstanding attention to detail, superb client service, and strict confidentiality with respect to client, FA, branch and company information. You will support financial advisors with account documentation, process funds and securities transfers, enter orders, and help develop comprehensive financial plans for clients, while maintaining compliance with

Qualifications

• SIE and FINRA exams or ability to obtain licensing.
• Knowledge of securities industry and products including stocks, bonds, mutual funds, annuities and insurance.
• 2+ years as a Registered Client Associate.
• Solid technology skills with MS Word, Excel and Outlook.
• Excellent written and verbal communication and client service skills.
• Strong attention to detail and accuracy including semi-advanced math.
• Ability to manage multiple demands in a deadline-driven environment.

Responsibilities

• Provide professional and courteous client service supporting satisfaction in a regulated environment.
• Adhere to Branch, Firm and Compliance policies and procedures.
• Review and maintain account documents and inform FA of important client activity.
• Assist FA with comprehensive financial plans for clients.
• Assist FA with client mailings, communications and events.
• Facilitate transfer of funds and securities and issue checks on request.
• Enter orders for stocks, bonds, options, margin, and mutual funds.
• Provide administrative support such as phone, correspondence and scheduling.

Skills

Communication

Problem solving

Client service

Attention to detail

Time management

Multi-tasking

Overtime flexibility

Education

Post-Secondary education

Tools

Microsoft Word

Excel

Outlook

Thomson ONE

Envestnet

CRM

Money Guide Pro

Job description

D.A. Davidson in Pasadena, CA is seeking an exceptional Registered Client Associate to join a dynamic, high-producing team.

This role requires outstanding attention to detail, superb client service, and strict confidentiality with respect to client, FA, branch and company information. You will support financial advisors with account documentation, process funds and securities transfers, enter orders, and help develop comprehensive financial plans for clients, while maintaining compliance with