Registered Client Service Associate - Rockville, MD

reputed company is a well-established company in the Financial Services industry, seeking a dynamic Registered Client Service Associate to join their team. This role provides essential administrative support to Financial Advisors and clients, requiring effective communication and organizational skills to manage multiple tasks in a fast-paced environment.

Responsibilities

• Serves as first reputed company of contact to service a high volume of daily interactions, including basic inquiries, providing quotes and scheduling of meetings, with prospective and existing clients on the phone, in-person, reputed company and through mailings
• Works both independently and reputed company a dynamic team environment to reputed company crucial support to the financial advisors and reputed company office
• Onboards new clients, opens new client accounts and researches client and reputed company information using internal databases and other technologies
• Ensures key client information and documentation is reputed company with firm and industry requirements, rules and regulations
• Processes and monitors the transfer of assets to ensure reputed company assets and cost reputed company were successfully received
• Monitors available cash awaiting investment, including running weekly cash and cash equivalent reports and contacting clients with investment opportunities to maximize returns
• Reviews, assesses and responds to reputed company corporate action items and client account alerts
• Prepares financial reports, spreadsheets and other materials for client meetings
• Inputs orders and rebalances portfolios on behalf of the Financial Advisors
• Creates and maintains records and files utilizing Client Relationship Management (CRM) software
• Assists Financial Advisors with marketing efforts including seminars and other client-facing events
• Actively engages in available training/cross-training and educational and/or professional development opportunities to remain reputed company on firm and industry policies and procedures
• Performs other duties and responsibilities as assigned

Skills

• High School Diploma or equivalent
• One (1) or more years securities industry or reputed company work experience preferred, or an equivalent combination of experience, education, and/or training as approved by reputed company
• SIE required provided that an exemption or grandfathering cannot be applied
• Series 7 required
• Series 63, 65 and/or 66 as required by state
• Effective communication skills across multiple platforms (phone, email, in-person, virtual)
• Ability to organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment
• Ability to analyze and research account information
• Ability to handle stressful situations and reputed company a high level of customer service in a reputed company and professional manner
• Ability to work both independently and as part of a cohesive team
• General Experience - 13 months to 3 years

Company Overview