Financial Services Client & Trade Support Associate

Home Bank; Louisiana; On-site; USD 52,000 - 72,000; Full time

Job summary

Home Bank seeks a Registered Client Service Associate to support Retail Financial Advisors in selling and servicing investment, fiduciary, and insurance products through a brokerage platform for both institutional and individual clients. The role balances sales goals with high-quality client service.

Responsibilities include research, inquiries resolution, operational oversight, and regulatory compliance, with extensive reporting and coordination across staff.

Qualifications

• Bachelor’s degree in finance, accounting, economics, business administration or related field preferred but not required
• 3-5 years financial services experience required
• FINRA Series 7, 63 and 65 or 66 licenses required
• Louisiana Life/Variable Insurance (LAH) licenses required

Responsibilities

• Accountable for assisting in achieving designated sales revenue goals as determined by Sales Management.
• Responsible for thorough research and resolution of client inquiries.
• Provides overall direction for activities related to administrative operations management.
• Managing a very large volume of financial and other operational details with exceptional follow through, and ability to create systems to avoid mistakes.
• Ability to report back in an efficient, systematic and timely manner to other staff on tasks completed, and next steps required.
• Working with trading software, executing trades, and managing account transfers.
• Advancing clients to next stage in sales process through written communication, reminders to other staff, and follow through.
• Implements and monitors office policies and procedures to comply with federal and state regulations and ensures the firm’s overall compliance with LPL/FINRA/SEC.
• Additionally, assists in creating reports, follow-up communication, and departmental research in conjunction with adviser needs and ensures overall high-quality client service in the office environment.
• Active role in solving operational problems and a strong role in branch operations systems in order remain compliant with LPL’s policies and procedures.
• Performs all other duties as assigned

Skills

Relationship building

Client inquiries resolution

Operations management

Trade execution

Account transfers

Regulatory compliance

Reporting

Sales follow-up

Research

Education

Bachelor’s degree

Tools

Trading software

Job description

Home Bank seeks a Registered Client Service Associate to support Retail Financial Advisors in selling and servicing investment, fiduciary, and insurance products through a brokerage platform for both institutional and individual clients. The role balances sales goals with high-quality client service.

Responsibilities include research, inquiries resolution, operational oversight, and regulatory compliance, with extensive reporting and coordination across staff.