This individual will provide administrative, client, and marketing support to one or more Financial Advisors (FAs) to enhance and grow their business. Roles and responsibilities may vary dependent upon the FA or team structure. Demonstrates extreme competence in all major areas of responsibility and operates with a relatively high level of independence. This individual will possess a Series 7, 63 and 65, or 66 licenses.
- Work independently with all home office departments to service the clients’ requests.
- Assist FAs in the ongoing development and maintenance of effective client relationships.
- Be knowledgeable of products and technology and comply with all rules and regulations of the firm, as well as the various regulatory agencies. Anticipate potential issues and or problems and alert respective FA and/or Branch Management as necessary.
- Be knowledgeable of all firm technology necessary to provide quick responses to client and FA inquiries and also assist in helping train other Private Client Associates.
- Compose effective client correspondence in accordance with established policies and procedures.
- Assist FAs in organizing and implementing productivity based campaigns.
- Coordinate marketing efforts through the marketing department (e.g., for local advertising).
- Interface effectively with home office departments and branch associates.
- Provide excellent telephone service to clients and potential clients, including prompt, accurate, and timely attention to detail. Ensure continuous telephone coverage.
- Perform other duties as required that contribute to the overall effectiveness of the branch office and individual FAs. May also perform some operations responsibilities for the entire branch in small branch offices.
- Work closely with their FA to understand the clients’ investments objectives, their financial situation and their tolerance of risk.
- Keep assigned FAs informed of all pertinent information and activity related to client accounts and transactions, including issues related to client suitability.
- May accept client orders and complete their requests in clients’ accounts on behalf of their FA.