Pcg Sr Registered Client Assoc Job in Mobile, Alabama US
Pcg Sr Registered Client Assoc
Provides sales practice as well as overall administrative and operational client service support to assist the business activities of the Financial Advisor(s). May solicit orders from clients, provide investment advice to clients, and cold call potential clients for brokerage accounts, under the direction of the Financial Advisor and as securities licensing and registrations permit. Provides assistance to the Financial Advisor by furnishing account information and quotes, establishing new accounts, and processing deliveries and/or payments. Performs various administrative functions for the Financial Advisor(s) and/or Branch Manager including, but not limited to, typing letters, forms and reports from rough draft, as well as preparing and/or originating correspondence for the Financial Advisor, which may include marketing campaigns. May originate their own administrative or operational related correspondence on accounts with the approval of the Financial Advisor. Handles telephone calls, requests for research reports and researches account problems. Establishes and maintains files to meet regulatory requirements, creating and producing reports and databases, establishes and maintains filing and record keeping necessary to support sales efforts. Provides knowledge and systems support to branch personnel and training for entry-level assistants. Basic Qualifications: Series 7 and 63 (or equivalent) licenses held for a minimum of 5 years. Minimum Qualifications: Client service oriented; detail oriented and ability to multi-task. Good written and verbal communication skills. Candidate must have 5+ years of brokerage and client related support functions in a full service retail brokerage environment. Candidate must display experience completing tasks in a timely and efficient manner. Candidate must be proficient in Microsoft Office systems. A Minimum of 5 years of experience directly supporting client related activities for a Financial Advisor or Financial Advisor team is required. Preferred Skills: Series 65/ 66 strongly preferred Experience leveraging Smart Station or comparable investment service request related systems WFA systems knowledge 5+ years of experience supporting brokerage related functions Ability to prioritize tasks to meet business needs Experience leveraging organizational skills to support branch and client needs, focusing on execution, accuracy and efficiency Displays experience completing tasks in a timely and efficient manner Experience processing client service requests in a full service retail brokerage environment 5+ years experience directly supporting financial advisor or FA team Displays strong teamwork skills