What are the responsibilities and job description for the Registered Client Associate position at D.A. Davidson Companies?
D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning more than 80 years. We are dedicated to conducting our business in accordance with the highest standards of integrity and ethics, and delivering outstanding service to our clients and each other. We support a friendly, open and supportive culture, and encourage candid communication and productive engagement that make our companies and each of us better. Just as we work to improve our clients’ financial well-being, we also work to strengthen local communities—and giving back is one of our core values. You can learn more about our company culture and impact in our latest annual report.
We are seeking a friendly, organized, and detail focused Client Associate to help a small team of Financial Advisors grow their business. A successful applicant will be detail oriented, enjoy working with people, and be comfortable managing dynamic projects from start to finish. This position offers a unique combination of work focusing on team tasks, client interaction, and independent projects. Competitive wages, bonus opportunities, and work-life balance are important to our team. Financial services industry experience is not required. Willingness and ability to learn are. We are searching for someone who wants to work hard, get paid well, and enjoy life outside of their career.
Required Experience:
Primary Qualifications:
- Ability to work with clients in a professional and friendly manner.
- Strong attention to detail and accuracy.
- Ability to multi task between, client customer service, Financial Advisor support, and team projects.
- Ability to facilitate communication between Financial Advisors, clients, and coworkers.
- Solid technology skills (Microsoft Word, Excel and Outlook).
- Willingness and ability to learn financial services industry skills.
- Experience with Thomson ONE, Envestnet, Microsoft CRM, Money Guide Pro preferred.
- Ability to maintain regular, predictable attendance.
- 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]) is required. Training and paid study time are available.
- May be required to maintain responsibilities of the front desk in accordance with branch, firm and regulatory policies and procedures.
- Interact with clients in a professional and friendly manner.
- Work with multiple team members to manage projects from start to finish.
- Provide administrative support, including but not limited to phone, correspondence, appointments, filing and other projects as assigned by the FA and/or Branch Manager.
- Review, maintain and process account documents and information.
- Assist Financial Advisors in developing and implementing periodic client mailings, communications and events.
- Enter orders to include buy/sell stock and bond trades, sell stop orders, option and margin trades and mutual funds.
- Adherence to all Branch, Firm and Compliance policies, procedures, rules and regulations.
We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.
From: D.A. Davidson Companies