Wbs Registered Client Assoc 1 Job in Palo Alto, California US
Wbs Registered Client Assoc 1
Assists financial consultants and financial advisors by providing sales and servicing support. Duties may include: opening accounts and processing paperwork; working with internal departments and/or directly with the client in solving service/operational issues, answering or providing information regarding procedural/sales questions, and processing client service requests (address changes, statement copies, etc.); processing the movement of funds and equities; scheduling appointments for new and existing clients; monitoring and tracking referrals and sales results; maintaining compliance files; issuing sales/marketing information to clients; preparing sales packages; ordering supplies; maintaining file system for prospective and existing clients; reviewing paperwork for completeness and forwarding to management for review. May act as a back-up in taking and executing investment orders directly from clients and/or via toll-free number. Basic Qualifications: 2+ years investment support experience; Series 7. Minimum Qualifications: Series 66 or (S63 and S65), and insurance licenses or ability to obtain within 120 days.