Registered Client Service Associate

Registered Client Service Associate

Registered Client Service Associates provide exceptional service to our clients and support Financial Advisor(s) / Private Wealth Advisor(s) / teams on a daily basis. Through regular interactions with clients, individuals in this role build trusted relationships. Leading with a client first mindset, a successful candidate for this role will have strong interpersonal skills and will be able to assist clients with their everyday needs.

Duties and Responsibilities : Client Support

• Support the Financial Advisor / Private Wealth Advisor / team in cultivating and enhancing new and existing client relationships
• Execute money movement transactions at the request of the client and / or Financial Advisor / Private Wealth Advisor / team
• Answer general non-investment related questions concerning client accounts, including relaying stock positions, and providing account balances (e.g., funds due and margin debit)
• Enter profile information or pre-fill account documentation on client accounts and / or documents in a clerical capacity at the direction of the client and / or Financial Advisor / Private Wealth Advisor / team
• Educate or enroll clients in digital tools (e.g. MSOnline, eSign, eAuthorization)
• Onboard and maintain client accounts, including collecting client information and required documentation in a clerical capacity at the direction of the client and / or Financial Advisor / Private Wealth Advisor / team
• Provide existing clients with details around their account information (e.g., investment objectives, risk tolerance)
• Accept or enter unsolicited orders and / or enter solicited orders in a clerical capacity at the direction of the Financial Advisor / Private Wealth Advisor / team
• Support the Financial Advisors / Private Wealth Advisors / teams' marketing strategy (e.g., website maintenance)
• Assist Financial Advisors / Private Wealth Advisors / teams in delivering against their business plan and client service model
• Remaining current on all policies, procedures, and new platforms
• Participate in firm initiatives (e.g., training or education programs), special projects and / or other duties directed by local management

Administrative Support

Education, Experience, Knowledge, and Skills : Education and / or Experience

Knowledge / Skills

Reports to : Business Service Officer