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Senior Registered Client Associate - RA

Absolute Opportunities
Los Angeles, California, United States
February 14, 2018

Senior Registered Client Associate - RA

Woodland Hills, CA

Provides sales practice as well as overall administrative and operational client service support to assist the business activities of the Financial Advisor(s). Interfaces directly with clients may solicit orders from clients, provide investment advice to clients, and cold call potential clients for brokerage accounts, under the direction of the Financial Advisor and as securities licensing and registrations permit. Provides assistance to the Financial Advisor by furnishing account information and quotes, establishing new accounts, and processing deliveries and/or payments. Performs various administrative functions for the Financial Advisor(s) and/or Branch Manager including, but not limited to, preparing forms and reports from rough drafts, as well as preparing and/or originating correspondence for the Financial Advisor, which may include marketing campaigns. May originate their own administrative or operational related correspondence on accounts with the approval of the Financial Advisor. Handles telephone calls, requests for research reports and researches account problems. Establishes and maintains files to meet regulatory requirements, creating and producing reports and databases, establishes and maintains filing and record keeping necessary to support sales efforts. Provides knowledge and systems support to branch personnel and training for entry-level assistants.

Required Knowledge, Skills, and Abilities: (Submission Summary)

5+ years of financial services experience

Successfully completed FINRA Series 7 and 63 or 7 and 66 exams to qualify for immediate registration (or FINRA recognized equivalents)

Brokerage industry experience

Experience interacting directly with customers

Ability to provide administrative support, including responding to prospect/customer inquiries and requests for information

Strong client service skills

Strong attention to detail and accuracy skills

Good verbal, written, and interpersonal communication skills

Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment

Please note, the hiring manager will only consider candidates with support experience/client associate experience - please do not refer candidates with sales backgrounds.

Candidates must be fully licensed and have 5 years of financial services experience - the hiring manager would prefer at least 5 years of experience supporting a financial advisor or financial advisor team in an administrative, not sales, capacity

Manager will not consider candidates who are currently or were recently a financial advisor, registered rep, or any sort of sales role - he only wants candidates who are in roles supporting FA's

13. Present Salary?

14. Salary Expectation? (Salary range: Min $42k,Max $62k,Target$49k)

15. Must be a US Citizen or Green Card holder?

16. Current Address?