Registered Client Services Associate

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Our financial services firm of over 35 years is looking for a new team member. This job will demand the best that you have to offer, and the encouraged ability to grow professionally within our firm.

The responsibilities include executing client transactions, and the ongoing maintenance of client accounts and our investment platform. Accounts may consist of various financial products and require the necessary knowledge and ability to provide our clients with outstanding service. Must provide support to multiple advisors by helping them prepare for meetings and executing directives following meetings.

Additional duties may include:

• Executing Trades in Client Accounts
• Reviewing Prior-Day Transactions and Outstanding Items
• Assisting with the Management of Model Portfolios
• Attending Client Meetings to Ensure Items are Handled Efficiently
• Processing Forms and Paperwork to Facilitate Changes within Accounts
• Communicating Directly with Clients Regarding the Recommended and Requested Transactions
• Process Transfers and Facilitate the Acquisition of New Funds
• Document and maintain CRM investment information with current investment account information

Other duties and responsibilities may be assigned. The duties and responsibilities listed are designed to provide typical examples of the work performed; not all duties and responsibilities assigned are included here, nor is it expected that all similar positions will be assigned every duty and responsibility.

Qualifications Knowledge, Skills and Abilities

• Completion of High School
• College degree or two years of college experience
• SIE, Series 7 and 66
• California Life and Health insurance license
• Ability to work closely with colleagues, clients, and advisors
• Knowledge of effective communication skills
• Attention to detail and accuracy
• Ability to follow directions and work with minimum supervision, take ownership of assigned tasks, and think independently.
• Excellent administrative, time management, and organizational skills
• Able to clear background check and fingerprinting

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Proficiency in the use of computer programs for:

• Microsoft Office Suite (Word, Outlook, Excel, PowerPoint)
• Familiarity with databases / CRMs (experience with Goldmine a plus) Personal characteristics

Demonstrate competence in the following areas:

• Relationships: Maintain positive working relationships with others, both internally and externally
• Communication: Excellent listening, oral and written communication skills
• Needs Assessment: Anticipate, understand, and respond to the needs of the firm and our clients
• Teamwork: Follows direction well, works cooperatively with others to set goals, resolve problems, and make decisions to enhance company's effectiveness.
• Organization: Excellent time management skills and attention to detail, as well as the capacity to prioritize by assessing situations to determine urgency
• Ability to adapt to changes.

Job Type: Full-time

Pay: $29.00 - $32.00 per hour

Expected hours: 40 per week

Benefits:

• 401(k)
• 401(k) matching
• Health insurance
• Life insurance

Compensation Package:

• Bonus opportunities

Ability to Commute:

• Diamond Bar, CA 91765 (Required)

Work Location: In person