RESPONSIBILITIES: The Client Associate provides support to the Financial Advisor by providing the FA and the clients of the FA with account information and quotes, establishing new accounts, entering security order tickets after being approved by the Financial Advisor and processing deliveries and or payments. This person performs various functions for the Financial Advisor and Branch Management including but not limited to typing letters, forms and reports, correspondence and the preparation of FA directed marketing campaigns. Handles telephone calls and or responds to other inquiries and or requests for research reports as well as researching account inquiries and or problems. Establishes and maintains files to meet the firms regulatory requirements, creating and producing report, databases and establishing and maintaining filing and record keeping necessary to support sales efforts. Responsible for remaining current on all new corporate policies, procedures and applications. Provides administrative support to the Financial Advisor.
REQUIREMENTS: No licensing requirement. Less than 5 years industry experience. All other duties as assigned. Mon - Fri, 40 Hours