Registered Client Associate

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

Summary/Function

We are currently seeking an exceptional individual to join a dynamic and high-producing team in our Pasadena, CA office. This team-critical role requires outstanding attention to detail, the ability to balance multiple requests, outstanding client service skills, and a high level of integrity and confidentiality with respect to client, FA, branch and company information.

Primary Qualifications

• Successful completion of the SIE (Securities Industry Essentials) and FINRA General Securities Representative (Series 7) Exam and Uniform Securities State Law Exam (Series 66 [or Series 63/65]) or the ability to obtain licensing is required.
• Significant knowledge of the securities industry, its operations and products to include stocks, bonds, margin accounts, options, mutual funds, annuities and insurance products.
• At least two years previous experience as a Registered Client Associate.
• Post-Secondary education preferred.
• Solid technology skills (Microsoft Word, Excel and Outlook). Experience with Thomson ONE, Envestnet, CRM, Money Guide Pro preferred.
• Excellent communication (written and verbal), problem solving and client service skills.
• Strong attention to detail and accuracy including the ability to perform semi-advanced math.
• Proven ability to manage multiple demands and competing priorities in a deadline-oriented environment.
• Ability to maintain regular, predictable attendance and to work overtime as needed.

Primary Duties

• Provide exceptionally professional and courteous customer service supporting client satisfaction including effectively articulating certain requirements in a regulatory environment.
• Adherence to all Branch, Firm and Compliance policies, procedures, rules and regulations.
• Review, maintain and process account documents and information – Inform FA of meaningful information and activities related to client accounts and transactions including suspicious activity.
• Assist FA with comprehensive financial plans for current and prospective clients.
• Assist FA in developing and implementing periodic client mailings, communications and events.
• Facilitate the transfer of client funds and/or securities and the issuance of checks upon request.
• Enter orders to include buy/sell stock and bond trades, sell stop orders, option and margin trades and mutual funds.
• Provide administrative support, including but not limited to phone, correspondence, appointments, filing and other projects as assigned by the FA and/or Branch Manager.
• Other projects and duties as assigned!

What we offer

Competitive salary plus excellent benefits and perks including, but not limited to:

• Medical, Dental and Vision
• Company 401(k) and ESOP contribution
• Generous sick, vacation, and maternity/parental leave
• Paid holidays
• Professional Development Opportunities
• Tuition Reimbursement ($15,000 lifetime cap)
• Discounted personal insurance including home, auto and recreational vehicles
• Charitable gift-matching program
• Davidson Day of Giving – Our tradition of positively impacting communities in which we live and work.

The potential base pay hiring range for this role is $30.00 to $32.00 per hour. The compensation offered will be determined on a case-by-case basis considering a variety of factors including, but not limited to, the skills, relevant work experience, and geographic location of each specific candidate.

At D.A. Davidson, we are committed to fostering a diverse environment that supports the development and inclusivity of all employees.

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.