Pcg Sr Registered Client Assoc Job in Westlake Village, California 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. Preferred Skills: 5+ years of brokerage and client related support functions in a full service retail brokerage environment Skilled in assessing investment related documents or client information to determine appropriate business and client resolution Experience using comparable investment service related systems Series 66