Client Associate or Registered Client Associate

Newport Beach, CAfull time

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Client Associate or Registered Client Associate at Dadavidson · LumiJobs

On Site

entry

H1B: no

Dadavidson Client Associate at D.A. Davidson supports financial advisors by managing client accounts and ensuring regulatory compliance. The role requires licensing and knowledge of securities products and operations.

Responsibilities

Successful completion of the (SIE) Securities Industry Essentials and FINRA General Securities Representative (Series 7) Exam and Uniform Securities State Law Exam (Series 66 [or Series 63/65]) or the ability to obtain licensing is required.
Significant knowledge of the securities industry, its operations and products to include stocks, bonds, margin accounts, options, mutual funds, annuities and insurance products.
High school graduate. Post-secondary education, or comparable work experience preferred.
Solid technology skills (Microsoft Word, Excel and Outlook). Experience with Thomson ONE, Envestnet, CRM, Money Guide Pro preferred.
Excellent communication (written and verbal), problem solving and client service skills.
Strong attention to detail and accuracy including the ability to perform semi-advanced math.
Ability to successfully handle multiple demands and competing priorities in a deadline-oriented environment.
Proven ability to manage multiple demands and competing priorities in a deadline-oriented environment.
Ability to maintain regular, predictable attendance and to work overtime as needed.
Provide exceptionally professional and courteous customer service supporting client satisfaction including effectively articulating certain requirements in a regulatory environment.
Adherence to all Branch, Firm and Compliance policies, procedures, rules and regulations.
Review, maintain and process account documents and information - Inform FA of meaningful information and activities related to client accounts and transactions including suspicious activity.

Qualification

Provide administrative supportOther projects and duties as assigned!MedicalCompany 401(k)and ESOP contributionGenerous sickPaid holidaysProfessional Development OpportunitiesTuition Reimbursement ($15Experience with Thomson ONEExcellent communicationAbility to maintain regular

Required

Assist FA in developing and implementing periodic client mailings, communications and events.
Facilitate the transfer of client funds and/or securities and the issuance of checks upon request.
Enter orders to include buy/sell stock and bond trades, sell stop orders, option and margin trades and mutual funds.
Provide administrative support, including but not limited to phone, correspondence, appointments, filing and other projects as assigned by the FA and/or Branch Manager.
Other projects and duties as assigned!
Medical, Dental and Vision
Company 401(k)and ESOP contribution
Generous sick, vacation, and maternity/parental leave
Paid holidays
Professional Development Opportunities
Tuition Reimbursement ($15,000 lifetime cap)
Discounted personal insurance including home, auto and recreational vehicles

Preferred

Post-secondary education or comparable work experience
Experience with Thomson ONE, Envestnet, CRM, Money Guide Pro
Excellent communication, problem solving and client service skills
Strong attention to detail and accuracy including the ability to perform semi-advanced math
Ability to successfully handle multiple demands and competing priorities in a deadline-oriented environment
Ability to maintain regular, predictable attendance and to work overtime as needed

Benefits

Dental
Vision
401(k)
Tuition
Parental Leave

Company

Dadavidson

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Source: lever

Active within the past hour

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Must-Have Skills for This Role

Series 7Series 66Microsoft WordExcelOutlookThomson ONE

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