Registered Client Service Associate

Comerica Bank; California, Costa Mesa (MO, CA); Hybrid; USD 80,000 - 100,000; Full time

Job summary

An established industry player is seeking a Registered Client Service Associate to provide vital operational and sales support to Financial Consultants. This role is essential for ensuring client satisfaction through effective communication and problem-solving. The ideal candidate will possess strong organizational skills and a customer-focused mindset, thriving in a collaborative environment. With opportunities for professional growth and a comprehensive benefits package, this position offers a unique chance to make a significant impact in the financial services sector. Join a team that values diversity and invests in your development.

Benefits

Health and Welfare Programs

Retirement Benefits

Paid Time Off

Development Opportunities

Qualifications

• Bachelor's degree or high school diploma with 4 years of experience required.
• Series 7 and Series 63 licenses are mandatory.

Responsibilities

• Assist with client account openings and maintenance.
• Provide timely responses to client inquiries and issues.

Skills

Customer Service

Problem-Solving

Communication

Teamwork

Planning and Organization

Education

Bachelor's Degree

High School Diploma with Financial/Retail Experience

Tools

Microsoft Office

Job description

Registered Client Service Associate

The Securities Senior Sales Assistant (SSA) role is a position providing operational and sales support to multiple Financial Consultants (FCs) within their individual businesses, as well as supporting office initiatives. The role assists one or more Financial Consultants (FC) in a Retail, High Net Worth, or Institutional capacity.

Position Competencies

Successful incumbents are customer-focused, able to work independently, possess excellent teamwork, planning and organizational skills, are creative and innovative, and are effective communicators with strong attention to detail and problem-solving abilities.

Responsibilities

• This position holds responsibilities in 4 primary categories: Sales Support, Compliance, Customer Service, and Teamwork. Some of the primary responsibilities include:
• Assisting with the opening and maintenance of client accounts and records.
• Ensuring completion of all paperwork for clients.
• Providing accurate, timely, and courteous responses to clients.
• Organizing client files and setting up systems to assist Financial Consultants with follow-up.
• Researching and resolving complex and sensitive client issues.
• Understanding policies and procedures for firm and regulatory compliance.
• Copying and retaining necessary documentation.
• Maintaining accurate office logs.
• Backing up other sales associates as needed.
• Identifying office procedure issues and escalating appropriately.
• Participating in office or firm-wide initiatives as requested.
• Demonstrating teamwork, cooperativeness, and positivity.
• Following approval channels for all correspondence and marketing.
• Creating client correspondence/mailings as needed.
• Performing operational or administrative functions for client requests (e.g., check requests, wiring funds, address changes, dividend info).
• Entering trades as permitted by licensing and firm rules.

Position Qualifications

• Bachelor's degree from an accredited university or high school diploma with 4 years of Financial/Retail experience.
• Series 7 and Series 63 licenses required.
• Willingness and ability to obtain FINRA Series 66 or 65, and applicable insurance and annuity licenses.
• 5 years of customer contact experience.
• 2 years of experience in investments/brokerage industry and securities regulations.
• 2 years of Microsoft Office experience.

Work best category: Category B - 3-4 days in office on designated days, 1-2 days remote.

Hours: 8:00 am - 5:00 pm, Monday - Friday.

Salary: For candidates in California, Colorado, Washington, New York, Illinois, Maryland, New Jersey, or Massachusetts, the expected salary/OTE range is:

• California - $25.99 - $46.99 hourly.

Salary ranges are subject to change. Compensation factors include position, grade level, location, skillset, and peer pay. The employer's work location influences the pay range.

About Comerica

We invest in our employees through a comprehensive Total Rewards package, including cash compensation, development, and benefits to support health, well-being, and security. Benefits include health and welfare programs, retirement benefits, paid time off, and more. Eligibility varies by program and employment status.

Upon offer, a background and fingerprint check is conducted. Certain roles require NMLS certification, background, credit, fingerprint checks, and adherence to the SAFE Act.

Comerica Incorporated (NYSE: CMA) is a Dallas-based financial services company with operations across several states and internationally. We are committed to diversity and are an Equal Opportunity Employer, including veterans and individuals with disabilities.