Registered Client Associate/Sales Assistant

Huntersville, North Carolina
Competitive salary
Jan 06, 2021
Mar 07, 2021
Employment Type
Full Time
CFP® Certification
Not necessary

Candidate must be Series 7 and 63 or 66 licensed.

Essential Functions:

  • 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