Registered Client Service Associate

Stifel; La Crosse (WI); On-site; USD 40,000 - 55,000; Full time

Benefits offered by this job

Health care

Dental care

Vision care

401k

Paid time off

Job summary

Stifel is seeking a Client Services Associate (Registered) in La Crosse, Wisconsin, to assist Financial Advisors with client accounts, perform administrative duties, and provide customer service support. The role includes entering trades and maintaining records for account management.

Qualifications include a High School Diploma, 2 years of investment industry experience, and proficiency in Microsoft Office. Licenses Series 7 and 63 or 66 are required, with non-registered candidates willing to obtain licenses being considered.

Qualifications

• Knowledge of administrative and clerical procedures and systems.
• General understanding of the investment brokerage industry and securities regulations.
• Able to organize, prioritize, and manage multiple tasks efficiently.
• Using logic and reasoning to identify strengths and weaknesses of solutions.
• Knowledge of principles for providing exemplary customer services.
• Excellent communication skills in spoken or written form.

Responsibilities

• Assists Financial Advisors with opening and maintenance of client accounts.
• Performs administrative support duties including typing, filing, and answering phones.
• Provides reports to Financial Advisors as requested.
• Accepts and enters unsolicited orders from clients.
• Identifies situations needing escalation to the Financial Advisor or Branch Manager.

Skills

Administrative Knowledge

Industry Knowledge

Time Management

Critical Thinking

Customer and Interpersonal Skills

Communication Skills

Education

High School Diploma or equivalent

2 years investment industry experience

Tools

Microsoft Excel

Microsoft Word

Microsoft PowerPoint

Microsoft Outlook

Job description

What You’ll Be Doing

The Client Services Associate (Registered) assists one or more Financial Advisor(s) (FA(s)) with opening and maintenance of client accounts and records, performs a wide variety of administrative support duties, including but not limited to word processing, preparing mailings, filing, answering the phone, obtaining approvals for FA(s) communications and advertisements, provides overall customer service support to clients, may enter trades as directed by the FA(s). Non-registered candidates will be considered, but will be required to obtain licenses.

What We’re Looking For

• Perform clerical functions related to opening client accounts and ongoing account coding based on account features chosen by the client.
• Work with the FA(s) and the client in obtaining the required documents based upon the type of account(s) established.
• Provide quotes and other account-related information to assist clients.
• Organize and assist in the maintenance of complete client account and trade- related records for the FA(s) and certain required files for the branch office.
• Perform operational or administrative functions for client related requests (i.e., check requests, wiring funds, address change, dividend information, etc.).
• Provide reports and other information to FA(s), as requested.
• Perform calling activities, not limited to existing clients, using scripts approved by a principal of Advertising and Graphics. Registered Client Service Associates may highlight a service or product but may not discuss products or investments beyond a point that the discussion becomes a solicitation where the specific appropriateness of the investment or the suitability of the client becomes a factor.
• Accept and enter unsolicited orders from clients in states in which they are registered and may enter orders received directly from a FA who is registered in the client’s state of residence.
• Identify situations that need to be brought to the attention of the FA(s) or escalated to the Branch Manager; including suspicious client and/or employee activity or behavior.
• Perform various administrative duties (i.e., typing, filing, answer phones, mailing documents/letters, etc.) and other duties and projects as assigned by the FA and/or Branch Manager.

What You’ll Bring

• Administrative Knowledge – Knowledge of administrative and clerical procedures and systems such as word processing, spread‑sheet applications, managing files and records, and other office procedures and terminology.
• Industry Knowledge – General understanding of the investment brokerage industry and securities regulations with basic knowledge of investment products.
• Time Management – Able to organize, prioritize and manage multiple tasks, responsibilities and deadlines; is able to follow through and accomplish goals, manage expectations appropriately and use firm’s resources efficiently.
• Critical Thinking – Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to practical problem solving.
• Customer and Interpersonal Skills – Knowledge of principles and processes for providing exemplary customer and personal services. This includes customer needs assessment, meeting quality standards for services, and evaluation of customer satisfaction.
• Communication Skills – The ability to communicate information and ideas in spoken or written form so that others will understand with excellent grammar and phone/office etiquette.

Education & Experience

• Minimum Required: High School Diploma or equivalent
• Minimum Required: 2 years investment industry experience

Licenses & Credentials

• Minimum Required: Series 7 and 63 or 66
• Minimum Required: Willing to obtain licenses

Systems & Technology

• Proficient in Microsoft Excel, Word, PowerPoint, Outlook.

About Stifel

At Stifel we offer an entrepreneurial environment, comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.

Stifel is an Equal Opportunity Employer.