Registered Financial Client Associate

Benjamin F Edwards & Co; Sarasota (FL); On-site; USD 55,000 - 75,000; Full time

Benefits offered by this job

Health insurance

Dental insurance

Vision insurance

401(k)

Life insurance

Disability insurance

Paid time off

Job summary

Benjamin F. Edwards in Sarasota, FL is seeking a Registered Financial Client Associate to support Financial Advisors by delivering client service, handling account research, paperwork, and filing in accordance with Compliance.

The role involves opening new accounts, processing deposits and wires, providing quotes, addressing inquiries by phone or email, preparing daily reports, and coordinating with the Home Office and vendors while delivering a seamless client experience.

Qualifications

• Bachelor’s Degree or equivalent work experience required.
• 2+ years’ experience in financial services.
• Series 7 and Series 63/65 or Series 66 required.

Responsibilities

• Provide client service and support related to check requests, deposits, wiring funds, record-keeping and adjustments.
• Provide quotes and other account-related information to assist clients.
• Accept and enter orders from clients and/or on behalf of the Financial Advisor(s).
• Assist Financial Advisor(s) with opening new accounts and send required account and transaction documents to clients.
• Interacts daily on the phone and in person with clients handling basic inquiries and scheduling appointments.
• Research and resolve account problems, missing documents, etc. Identify errors and initiate corrective measures.
• Create, prepare and review daily client reports for Financial Advisor(s)
• Act as liaison between the Branch and Home Office for various projects and issues, such as technology needs, outside vendors, branch procedures, etc.
• Assist Financial Advisor(s) with the prospecting of new clients through mailings and seminars.
• Maintain files in accordance with firm and regulatory guidelines.
• Perform various administrative tasks including but not limited to scanning and organizing documents, scheduling client meetings and calendar events, executing daily tasks and notification, preparing correspondence and assist with mailing and client requests.

Skills

MS Office

Detail oriented

Multitasking

Team player

Excellent communicator

Discretion

Education

Bachelor's Degree or equivalent

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 Financial Client Associate

Full Time Branch Support Sarasota, FL, US

3 days ago Requisition ID: 1476

Summary:

Under direct supervision, the Registered Financial Client Associate assists the Financial Advisor (s) by providing a wide variety of administrative support to maintain client accounts, including but not limited to client service, account research, completing paperwork, maintaining client notes, greeting visitors, responding to phone and email inquiries, researching and resolving questions, filing and record keeping in accordance with Compliance regulations by following policy and procedure. Partner closely with a Financial Advisor (s) to collaborate on delivering a seamless client experience.

• Provide client service and support related to check requests, deposits, wiring funds, record-keeping and adjustments.
• Provide quotes and other account-related information to assist clients.
• Accept and enter orders from clients and/or on behalf of the Financial Advisor (s).
• Assist Financial Advisor(s) with opening new accounts and send required account and transaction documents to clients.
• Interacts daily on the phone and in person with clients handling basic inquiries and scheduling appointments.
• Research and resolve account problems, missing documents, etc. Identify errors and initiate corrective measures. Follow up and relay correct information to clients.
• Create, prepare and review daily client reports for Financial Advisor(s)
• Act as liaison between the Branch and Home Office for various projects and issues, such as technology needs, outside vendors, branch procedures, etc.
• Assist Financial Advisor(s) with the prospecting of new clients through mailings and seminars.
• Maintain files in accordance with firm and regulatory guidelines.
• Perform various administrative tasks including but not limited to scanning and organizing documents, scheduling client meetings and calendar events, executing daily tasks and notification, preparing correspondence and assist with mailing and client requests.
• Perform administrative duties as required by the Financial Advisor(s) or Branch Manager.
• Provide backup support as required to other branch support personnel.
• Perform other related duties as assigned.

Qualifications:

• Proficient experience with Microsoft Office Suite and ability to learn other software and technology.
• Detail oriented and able to manage a variety of tasks.
• Ability to organize, prioritize and manage multiple tasks in a fast-paced, evolving environment.
• Team player with the ability to collaborate with others.
• Excellent communicator (oral and written) across a wide variety of communication channels (in-person, phone and virtually); solid interpersonal skills.
• Exercise discretion in handling confidential information.

Education and/or Work Experience:

• Minimum Required: Bachelor’s Degree required or equivalent work experience.
• Minimum required: 2+ years' work experience in financial services experience.

Licenses/Registration:

• Minimum required: Series 7 and Series 63/65 or Series 66.

This position requires the ability to work in a stationary position for several hours at a time and the ability to lift up to 25 pounds, occasionally. Some filing is required. The work environment is an air-conditioned, smoke-free, office environment. This position routinely uses standard office equipment such as computers, phones, photocopiers and filing cabinets.

If you are interested in joining a different kind of firm that truly puts the interests of its advisors and clients first, you have come to the right place. Founded in 2008 and serving more than 300 advisors with over $50 billion in assets, Edwards has the scale our advisors expect and the ability to deliver the personal touch and concierge-level service our clients deserve.

We are a firm that values our legacy of family and colleagues and cherishes an environment where all succeed through collaborative support. To us, legacy is not only about the past - it is building an experience that prepares all of us, and our clients, for the future.

We invest in our team and recognize and appreciate the value of hard work. The rewards of the job are founded in the difference you will make in the lives of our clients and extend throughout a culture that inspires you to learn, grow, and be your best. Having fun is part of the firm’s mission statement.

We offer a comprehensive benefits package which includes health, dental, vision, 401(k), life insurance, disability, and paid time off.

Our client-first mission is grounded in the Golden Rule; when you join Benjamin F. Edwards you are well cared for, and we welcome all applicants with the skills, experience, and enthusiasm to do a great job regardless of race, color, religion, gender, sexual orientation, national origin, genetics, disability, age, or veteran status.

Benjamin F. Edwards is an Equal Opportunity Employer.