Registered Client Service Associate

Jobtailor; Lexington (KY); On-site; USD 40,000 - 65,000; Full time

Job summary

Central Investment Center is seeking a proactive Sales Support & Administrative Assistant to support Financial Advisors in Lexington, KY. You will handle client communications, prepare materials, process paperwork, prepare and follow up on client meetings, and coordinate with back-office operations in a FINRA-compliant environment.

Ideal candidates have a Bachelor’s degree preferred, FINRA Series 7 and 63 licenses, life insurance license preferred, and at least 1 year of brokerage experience,

Qualifications

• Bachelor’s degree preferred and brokerage exposure valued.
• FINRA licensed or in-process is highly regarded.
• Experience interacting with clients and handling paperwork.

Responsibilities

• Provide sales support and administrative duties for Financial Advisors of Central Investment Center.
• Assist Financial Advisors with daily sales support and client communications.
• Act as liaison between Financial Advisors and clients in compliance with FINRA guidelines.
• Answer calls, schedule appointments, and prepare materials for meetings.
• Open the CIC office to the public and manage daily office tasks.
• Process IRA and distribution requests and assist with trade entries as instructed.
• Coordinate with internal departments to ensure timely service delivery.

Skills

Client communication

Time management

Attention to detail

Problem solving

Education

Bachelor’s degree preferred

Tools

CRM Software

Raymond James Back Office

Job description

• Provide sales support and administrative duties for the Financial Advisors of Central Investment Center
• Assist Financial Advisors with daily sales support
• Act as liaison between Financial Advisors and clients while following FINRA guidelines as a registered sales assistant
• Answer incoming calls and provide telephone support
• Schedule appointments and prepare materials for client meetings
• Open the CIC office to the public, including potentially disarming the alarm and turning on lights
• Prepare and complete client paperwork and follow-up tasks
• Assist with processing business, including entering trades as instructed
• Conduct proactive outreach for time-sensitive activities such as RMDs and client reviews
• Serve clients by phone, virtual visits, and in person
• Schedule financial review and follow-up meetings
• Process IRA and Preferred account distribution requests, including placing trades where appropriate
• Coordinate with internal departments to ensure timely service delivery
• Handle mail and email related to client requests
• Maintain compliance with company, state, and federal rules and regulations
• Submit marketing items for approval and maintain marketing records
• Maintain office organization and filing
• Record client communications in the CRM
• Use the Raymond James back office support system for client accounts
• Assist with obtaining new account numbers
• Provide backup for daily deposits and enter details in the Raymond James system
• Balance records and send account information to Raymond James for processing
• Log incoming checks, copy them, and overnight mail them to Raymond James
• Maintain a tickler file and follow through on requests
• Educate clients on account services, capabilities, and new technology
• Complete required corporate training and follow implementation guidelines
• Perform general administrative services and other assigned duties

Requirements

• Bachelor’s degree preferred
• FINRA Series 7 and 63 licenses
• Life Insurance License preferred
• One+ years’ experience in brokerage industry
• Strong work ethic
• Ability to prioritize several tasks
• Good planning and problem-solving skills
• Excellent written and verbal communication skills
• Dependability and accuracy
• Strong problem solving, organization and time management skills
• Commitment to customer service
• Knowledge of investments required

Core Competencies

Demonstrates expertise in sales support and administrative functions within the financial services sector, ensuring compliance with FINRA guidelines while providing exceptional client service and maintaining accurate records.

Highest-signal resume keywords

• FINRA Series 7 License
• FINRA Series 63 License
• Knowledge Of Investments
• Client Relationship Management
• Time Management

ATS Optimization Keywords

Hard Skills

• Client Paperwork Processing
• Trade Entry
• Appointment Scheduling
• Office Organization
• Client Communication

Soft Skills

• Strong Work Ethic
• Problem-Solving Skills
• Excellent Communication Skills
• Dependability
• Customer Service Commitment

Certifications & Qualifications

• Bachelor’s Degree Preferred
• Life Insurance License Preferred

Industry Keywords

• Brokerage Industry
• FINRA Guidelines
• Client Reviews
• IRA Distribution Requests
• Marketing Records

Tools & Technologies

• Raymond James Back Office Support System
• CRM Software