A well-known wealth management firm's top producing La Jolla branch is in search of a Senior Client Associate on a direct hire basis. This is an onsite opportunity located in La Jolla, CA.
As the Senior Client Associate, you will provide administrative and operational support to one or more Financial Advisors (FA) and/or the Branch Director, will be a liaison between the client and the FA(s) in terms of providing services to clients, researching problems, processing account forms and related paperwork, maintaining appropriate account records, preparing client correspondence and in the execution of unsolicited orders.
Service clients in a pleasant, professional manner. Answer questions about their accounts and trading procedures within the established scope of the position's responsibility. Provide information such as account balances, stock quotes and other account-related information.
Build and maintain a professional rapport with clients.
Keep FA(s) informed of all important information and activities related to their clients’ accounts and transactions.
Registered employee may enter unsolicited trades in client accounts at the client’s request, generally in the FA’s absence.
Research and effectively resolve complex problems in client accounts at the request of the client or FA. Notify the FA and/or client of the outcome. May assist others with problem resolution.
Ensure that all appropriate account documentation is obtained and maintained.*
Inform clients about missing paperwork and securities or funds due in accordance with branch, complex, firm and compliance policies.
Stay up to date on changing operational procedures.
Adhere to all compliance policies and procedures and complete required internal continuing education activities.
Note potential problems and alert respective FA(s), branch and/or complex management as necessary.
Maintain a high level of confidentiality in accordance with company’s Code of Conduct.
Utilize the firm's computer systems and related functionality as it applies to client service and business enhancement.
Facilitate the transfer of funds and securities and the issuance of clients’ checks, wires and ACH’s when requested.
Coordinate and ensure timely mailing of client information (e.g., BETALink reports, research, etc.).
Send out direct mail campaigns at the direction of the FA(s).
Compose letters or memos as requested in accordance with established policies and procedures.
Perform other duties as required which contribute to the overall effectiveness of the position, as well as to the branch as a whole.
3+ years’ experience as a Client Associate within the financial services industry
High school diploma or equivalent
Series 7 & Series 63
State licenses consistent with those of the FA(s) to whom this person supports
Intermediate understanding of the stock market, investments and retirement plans
Working knowledge of fixed income products, equities, mutual funds, insurance and annuities
Basic computer skills (including Microsoft Office)
Detail oriented, strong math and organizational skills
Able to manage multiple demands and competing priorities
Able to work effectively in a fast-paced, deadline-oriented environment
Strong customer service skills
It is the policy and practice of On Call Staffing Solutions, Inc. to consider all applicants for employment on the basis of their qualifications, and without regard to unlawful considerations of race, color, national origin, sex/gender, sexual orientation, gender identity or expression, age, religion, disability, protected medical condition, genetic information, pregnancy, marital or domestic partnership status, military or veteran status, or any other legally protected basis.
If you require reasonable accommodation in completing this application, interviewing, completing any pre-employment testing, or otherwise participating in the employee selection process, please direct your inquiries to Human Resources, 858-752-6200, firstname.lastname@example.org.
Reasonable accommodations in all aspects of employment, including the application process, are available upon request of a qualified applicant or employee with a disability. Certain job assignment offers are contingent upon successfully passing a physical examination, which may include drug and alcohol testing, if required by the client company.