Registered Client Services Associate
Cheshire, CT (On-site)
Contract Role
Need someone who has experience in financial acumen, and knows how to complete the documents that are dealing with opening new accounts, transfers, roll-overs, IRA, Annuities, Etc.
Job Summary:
The Registered Client Services Associate (RCSA) plays a pivotal role in supporting the firm’s financial advisors by managing client relationships, facilitating the smooth execution of financial plans, and handling all administrative aspects of client services. This role demands a high level of organization, attention to detail, and strong interpersonal skills. The RCSA will be responsible for ensuring that clients receive exceptional service, maintaining compliance with industry regulations, and supporting the firm’s business development initiatives.
Key Responsibilities:
Client Relationship Management:
Primary Point of Contact: Serve as the primary point of contact for clients, addressing inquiries, scheduling meetings (minimal scheduling) and ensuring all client interactions are handled with professionalism and care.
Client Onboarding: Work with operations manager in facilitating the onboarding process for new clients, including the collection of necessary documentation, account setup, and ensuring compliance with regulatory requirements.
Client Reviews: Coordinate and prepare for client review meetings, including compiling account statements, performance reports, and any other necessary documentation.
Communication: Maintain regular contact with clients through phone, email, and written correspondence to ensure their needs are met and any issues are promptly resolved.
Client Records: Maintain and update client files and records in the firm’s CRM system, ensuring accuracy and confidentiality.
Administrative Support:
Document Preparation: Prepare and process various forms and documents related to client accounts, including account opening, transfers, distributions, and other transactions.
Compliance: Ensure all client-related activities comply with FINRA, SEC, and state regulations. Assist in the preparation and submission of compliance documentation as required.
Meeting Coordination: Schedule and confirm appointments for advisors, prepare meeting agendas, and ensure that all required materials are available.
Reporting: Generate and review client performance reports, account summaries, and other relevant documentation to assist advisors in client meetings.
Correspondence Management: Manage all incoming and outgoing client correspondence, including processing mail, emails, and calls.
Operational Support:
Account Management: Monitor and manage client account activities, including cash balances, pending transactions, and account maintenance.
Trade Execution: Assist in the execution of trades and other investment transactions, ensuring accuracy and compliance with client instructions.
Financial Planning Support: Assist advisors in the creation of financial plans by gathering relevant data, preparing financial models, and reviewing plan documents for accuracy.
Technology Management: Utilize the firm’s technology platforms (CRM, financial planning software, portfolio management systems) to maintain and manage client information and support advisory activities.
Business Development Support:
Marketing Initiatives: Support the firm’s marketing efforts by helping prepare marketing materials, manage social media accounts, and assist with client events.
Client Acquisition: Assist with the preparation of presentations and proposals for prospective clients. Participate in client outreach initiatives to help grow the firm’s client base.
Referral Management: Manage the firm’s referral programs by tracking referrals, ensuring follow-up, and maintaining records of referral sources.
Qualifications:
Education: Bachelor’s degree in Finance, Business, Economics, or related field preferred.
Licenses/Certifications: Must hold Series 7 and Series 63/66 licenses. Additional certifications such as a CFP® are a plus.
Experience: Minimum of 2-3 years of experience in a client services role within a financial advisory firm or similar environment.
Skills:
Strong knowledge of financial products, services, and regulatory requirements.
Excellent communication skills, both written and verbal.
High level of accuracy and attention to detail.
Ability to manage multiple tasks and prioritize effectively.
Proficiency with financial planning software, CRM systems, and Microsoft Office Suite.
Strong organizational skills and ability to work independently and as part of a team.
Attributes:
Client-Focused: Demonstrates a commitment to providing exceptional client service and building long-term client relationships.
Problem Solver: Ability to identify issues and implement solutions efficiently and effectively.
Ethical: Maintains the highest ethical standards and compliance with industry regulations.
Adaptable: Flexible and able to handle changing priorities and work demands.
Team-Oriented: Works well within a team environment and supports colleagues in achieving common goals.
Working Conditions:
Environment: Office setting with occasional remote work opportunities.
Hours: Full-time, Monday to Friday, with occasional evenings or weekends as needed for client meetings or events.
Physical Requirements: Must be able to sit for extended periods, use a computer, and handle light physical tasks such as filing and moving client documents.
Thanks
omar.abdul@panzersolutions.com
