Client Associate

ESSENTIAL DUTIES AND RESPONSIBILITIES * Complete new account and transfer account forms.

* Answer telephones, take messages, make copies, and mail printed material.

* Type correspondence, reports, account information, pair off letters, etc.

from drafts, transcriptions, memos and various forms.

* Maintain files of confidential and routine material and information.

* Assist Financial Consultants and/or customers and provide information as appropriate.

* Assist assigned sales staff in resolution of routine problems with accounts by researching and compiling appropriate information for their use.

* Maintain miscellaneous records for Financial Consultants such as appointment schedules, commission accounts, trades executed, etc.

* Schedule business trips for Financial Consultants, coordinate with customers while Financial Consultants is out of office, and assist with filing expense reports for Financial Consultants.

* Perform other related duties as assigned by management.

EDUCATION AND/OR EXPERIENCE * Bachelor's degree in a related field.

* 1+ years of related experience and/or training.

* Equivalent combination of education and experience.

CERTIFICATIONS, LICENSES, AND REGISTRATIONS * SIE - Securities Industry Essentials within 6 months.

* Series 7 - General Securities Representative within 6 months.

* Series 63 - State Law Exam or Series 66 - Combined State Law within 6 months.

REQUIRED TESTING * Microsoft Word * Excel * Alpha/Numeric Data Entry #