Seattle-based Financial Client Associate – Securities

D.A. Davidson Companies; Seattle (WA); On-site; USD 41,328 - 49,593; Full time

Benefits offered by this job

Medical benefits

Dental benefits

Vision benefits

401(k) and ESOP

Paid holidays

Professional development

Tuition reimbursement

Insurance discounts

Charitable gift-matching

Job summary

D.A. Davidson Companies seeks an exceptional individual to join a dynamic, high-producing team in Seattle, WA.

This client-facing role requires outstanding attention to detail, superior service, integrity and confidentiality with respect to client and firm information. Responsibilities include providing professional customer service, processing account documents, assisting FAs with financial plans, and coordinating communications and events, while adhering to compliance.

Qualifications

• Successful completion of the required securities exams (SIE, Series 7, Series 66 or 63/65) or the ability to obtain licensing
• Significant knowledge of securities industry products (stocks, bonds, mutual funds, annuities, insurance)
• Previous experience as a Registered Client Associate preferred
• Post-secondary education preferred
• Solid technology skills with Microsoft Office; familiarity with industry tools is a plus

Responsibilities

• Provide professional and courteous client service, ensuring client satisfaction in a regulatory environment
• Adhere to Branch, Firm and Compliance policies and procedures
• Review and maintain client documents and inform Financial Advisor of important client activities
• Assist Financial Advisor with comprehensive financial plans for clients
• Assist with client mailings, communications and events
• Facilitate transfer of funds and issuance of checks on request
• Enter orders for stocks, bonds, and funds; manage various trade types
• Provide general administrative support to FA and Branch Manager
• Other duties as assigned

Skills

Client service

Regulatory compliance

Attention to detail

Communication

Education

Post-secondary education

Tools

Microsoft Word

Excel

Outlook

Thomson ONE

Envestnet

CRM

Money Guide Pro

Job description

D.A. Davidson Companies seeks an exceptional individual to join a dynamic, high-producing team in Seattle, WA.

This client-facing role requires outstanding attention to detail, superior service, integrity and confidentiality with respect to client and firm information. Responsibilities include providing professional customer service, processing account documents, assisting FAs with financial plans, and coordinating communications and events, while adhering to compliance.