Registered Client Associate/Sales Assistant
Candidate must be Series 7 and 63 or 66 licensed.
- Assist financial advisors and clients with questions and concerns related to account information, technology updates, mailings, appointments, directions, proxies, distributions, contributions, class action settlements, etc.
- Place mutual fund and equity trades for financial advisors, as well as annuity orders
- Assist financial advisors in creating financial plans, meeting preparation including the creation of client review reports and proposals, setup and implementation of client segmentation and service models
- Organize and index client files, both paper and electronic
- Process client paperwork for new accounts, account maintenance, death claims, distributions and rollovers
- Stay adept in and assist with implementing new compliance regulations