Licensed Client Associate

SWBC; United States; On-site; USD 50,000 - 70,000; Full time

Benefits offered by this job

Competitive overall compensation package

Work/Life balance

Career enhancement and growth opportunities

Job summary

SWBC is seeking an individual in the United States to assist Financial Advisors with client services, enhancing production, and executing trades.

The role involves customer support for brokerage clients, placing trades, soliciting appointments, and managing account documents. The ideal candidate has relevant educational qualifications and experience in investment sales.

SWBC offers a competitive compensation package, work/life balance, and opportunities for career growth.

Qualifications

• 2+ years in investment sales, service, or related experience.
• Series7 and Series63 licenses required.
• Texas driver's license and excellent driving record necessary.

Responsibilities

• Provide telephone customer service to brokerage and investment clients.
• Place trades as instructed by Financial Advisors or clients.
• Solicit appointments and additional sales from existing client base.

Skills

Communication skills

Analytical/problem-solving skills

Attention to detail

Interpersonal skills

Education

Associate’s Degree in Business, Finance, or related field

Bachelor’s Degree preferred

Tools

Microsoft Office (Word, Excel, Access, PowerPoint)

Job description

Job Overview

SWBC is seeking an individual who assists Financial Advisors and/or Consultants with servicing clients, enhancing production, and placing trades.

Responsibilities

• Provides telephone customer service to brokerage and investment clients by giving accurate information regarding their investment, answering questions about existing accounts, and handling requests such as additional purchases, redemptions, and account changes.
• Places trades as instructed by Financial Advisors, Consultants, or clients according to the firm’s policies and procedures.
• Solicits existing client base by phone for appointments and additional sales.
• Acts as a backup for Financial Advisors and/or Consultants to accept trades and provide consultation and recommendations to existing and potential clients.
• Oversees account documents, forms, and reports and submits business to operations.
• Gathers sales and productivity information for representatives and produces reports as directed by department management for activities within the investment program and/or Financial Advisors or Consultants.
• Travels to branches or other required locations to cover appointments for Financial Advisors and/or Consultants; meets with clients to discuss financial situation; and makes recommendations on investment products as directed by Financial Advisors and/or Consultants.
• Maintains referral system for accuracy; provides feedback for referrals and Financial Advisors and/or Consultants as instructed.
• Performs analysis of financial products and prepares client presentations.
• Confirms and schedules appointments with referrers.
• Performs other duties as required.

Qualifications

• Associate’s Degree in Business, Finance, Marketing, or related field or equivalent experience. A Bachelor’s Degree from an accredited four‑year college or university is preferred.
• Minimum of two (2) years in investment sales, service, trades, consultation support, or related experience.
• Series7 and Series63 license, GroupI license, current Texas driver’s license, and excellent driving record required.
• Working knowledge of investments, insurance, financial products, financial planning, and use of financial planning tools.
• Excellent communication (verbal and written) and telephone etiquette skills.
• Strong analytical/problem‑solving skills.
• Strong ability to focus on details, demonstrate accuracy, and maintain a high level of confidentiality.
• Proficient in standard Office software such as Word, Excel, Access, and PowerPoint; ability to work with a variety of finance/investment systems.
• Excellent interpersonal and organizational skills.
• Able to work in a fast‑paced professional environment with heavy phone‑based customer interaction.
• Able to work in a team and support multiple Advisors in multiple locations.
• Physically able to sit for long periods, assist customers on the phone, and execute, update, and validate computer applications and data.
• Able to stoop, kneel, and lift 10‑20lbs. of files or other documents.
• Able to travel locally.

Benefits

• Competitive overall compensation package.
• Work/Life balance.
• Employee engagement activities and recognition awards.
• Years of Service awards.
• Career enhancement and growth opportunities.
• Leadership Academy and Mentor Program.
• Continuing education and career certifications.
• Variety of healthcare coverage options.
• Traditional and Roth401(k) retirement plans.
• Lucrative Wellness Program (based upon employee eligibility).

SWBC is a Substance‑Free Workplace and requires pre‑employment drug testing. SWBC does not hire tobacco users as allowed by law.