Registered Client Service Associate

99.9 Ktdy; Lafayette, Northern (LA, KY); Hybrid; USD 52,000 - 76,000; Full time

Job summary

99.9 Ktdy in Lafayette, LA seeks a Registered Client Service Associate to support Retail Financial Advisors in selling investment, fiduciary, and insurance products through a full-service brokerage platform for both institutional and non-institutional clients.

The role emphasizes assisting in sales goals, client inquiries, and efficient administrative operations while ensuring compliance with FINRA/SEC regulations and delivering high-quality client service.

Qualifications

• 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.

Responsibilities

• Actively involved in supporting the Retail Financial Advisor(s) in the sales and service of investment, fiduciary, and insurance products.
• Assist in achieving designated sales revenue goals through customer contact and relationship building.
• Research and resolve client inquiries.
• Manage office policies and procedures to comply with regulations and ensure compliance.

Skills

3-5 years financial services

Client service excellence

Education

Bachelor’s degree in finance, accounting, economics, business administration or related field preferred

Tools

FINRA Series 7, 63, 65/66 licenses

LA Life/Variable Insurance licenses

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 1 Attachments

8 days ago Requisition ID: 2742

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