Registered Client Service Associate

Home Bank; Lafayette (LA); On-site; USD 55,000 - 75,000; Full time

Job summary

Home Bank is seeking a Registered Client Service Associate in Lafayette, LA. The role supports Retail Financial Advisors in selling investment, fiduciary, and insurance products through a full-service brokerage platform for both institutional and individual clients.

The role emphasizes sales support, client inquiries resolution, operational reporting, and adherence to federal/state regulations. Licenses and a finance degree are required or preferred, with emphasis on compliance and client

Qualifications

• Bachelor’s degree 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 licenses required.

Responsibilities

• Assist in achieving designated sales revenue goals through client contact and relationship building.
• Research and resolve client inquiries thoroughly.
• Provide direction for administrative operations and reporting to staff.
• Handle substantial financial and operational details with strong follow-through.
• Use trading software to execute trades and manage transfers.
• Advance clients through the sales process with clear written communication.
• Ensure compliance with LPL/FINRA/SEC regulations and internal policies.
• Assist in creating reports and supporting adviser needs.
• Contribute to branch operations and problem-solving to stay compliant.
• Perform other duties as assigned.

Skills

Customer service

Relationship building

Communication

Sales support

Education

Bachelor’s degree or related field

FINRA licenses (7/63/65 or 66)

Louisiana Life/Variable Insurance license

Tools

Trading software

Job description

If you are unable to complete this application due to a disability, contact this employer to ask for an accommodation or an alternative application process.

Registered Client Service Associate

Active - Regular full-time Exempt 2810 Johnston, Lafayette, LA, US

PURPOSE OF THE JOB

Actively involved in supporting the Retail Financial Advisor(s) in the sales and service of investment, fiduciary, and insurance products through a full-service brokerage platform to (institution) and (non-institution) clients.

MAIN DUTIES OF THE JOB

• Accountable for assisting in the achievement of designated sales revenue goals as determined by Sales Management. This is accomplished through customer contact, relationship building, ongoing development of sales, financial planning, referral source management, technical and interpersonal skills.
• 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

WHAT WILL YOU NEED TO SUCCEED

• 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

HOME BANK IS AN EQUAL OPPORTUNITY EMPLOYER

GOOD CREDIT IS A MUST

CREDIT REPORT IS REQUIRED FOR EMPLOYMENT