Registered Client Relationship Analyst

POSITION SUMMARY 

Registered Client Relationship Analysts provide exceptional service to our clients and support Financial Advisor(s) (FAs)/ Private Wealth Advisor(s) (PWAs)/ teams on a daily basis.  Through regular interactions with clients, individuals in this role build trusted relationships.  Leading with a client first mindset, a successful candidate for this role will have strong interpersonal skills and will be able to assist clients with their everyday needs. 

DUTIES and RESPONSIBILITIES:

CLIENT SUPPORT 

Provide service coverage for a FA/PWA/team including:  

• Supporting the FA/PWA/team in cultivating and enhancing new and existing client relationships 

•  Executing money movement transactions at the request of the client and/or FA/PWA/team

• Answering general non-investment related questions concerning client accounts, including relaying stock positions and providing account balances (e.g., funds due and margin debit)

• Enter profile information or pre-fill account documentation on client accounts and/or documents in a clerical capacity at the direction of the client and/or FA/PWA/team

• Educating or enrolling clients in digital tools (e.g. MS Online, eSign, eAuthorization)

• Onboard and maintain client accounts, including collecting client information and required documentation in a clerical capacity at the direction of the client and/or FA/PWA/team

• Provide existing clients with details around their account information (e.g., investment objectives, risk tolerance) 

• Accept or enter unsolicited orders and/or enter solicited orders in a clerical capacity at the direction of the FA/PWA/team

• Assists Financial Advisor(s) / team in delivering against their business plan and client service model 

• Supporting the Financial Advisor/ team marketing strategy (e.g., website maintenance) 

• Assist FAs/PWAs/teams in a clerical capacity with research relating to investment portfolio holdings, performance reporting, etc. and preparing materials for client meetings using firm approved systems 

• Assist with data entry for key client needs such as new account opening and financial planning at the direction of the FAs/PWAs/teams 

• Remaining current on all policies, procedures, and new platforms 

• Participating in firm initiatives (e.g., training or education programs), special projects and/or other duties directed by local management

ADMINISTRATIVE SUPPORT: 

• Answering inbound phone calls or making outbound calls with updates on service requests (e.g., scheduling follow-up calls with Financial Advisor / teams as needed)  

• Managing the calendar including coordinating meetings or events with logistics such as material prep (e.g., maintaining agendas, sending calendar invites with Zoom credentials) 

• Maintaining travel itineraries, preparing expense reports, and managing the reimbursement process

• Assisting with general in-office support functions such as copying, filing, and scanning documentation 

• Preparing and submitting expense reports for processing at the direction of the FA/PWA

EDUCATION, EXPERIENCE, KNOWLEDGE, and SKILLS:

Education and/or Experience

• High School Diploma/Equivalency

• College degree preferred

• Active Series 7 (GS), and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA)

• Two or more years of industry experience preferred
 

Knowledge/Skills

• Knowledge of financial services products, including but not limited to equities, bonds, options, mutual funds, annuities, insurance, and managed accounts

• Detail orientated with superior organizational skills and ability to prioritize 

• Advanced Microsoft Office skills (Word, Excel, Outlook, and PowerPoint)

• Exceptional writing, interpersonal and client service skills

• Strong time management skills

• Team player with the ability to collaborate with others

• Ability to work in a fast-paced, evolving environment

• Adaptable and ability to multitask 

• Goal oriented, self-motivated and results driven

Reports to:

• Business Service Officer

To qualify, applicants must be legally authorized to work in the United States and must not require, now or in the future, sponsorship for employment visa status.