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D.A. Davidson Companies · 2 days ago

Client Associate

Long Beach, CA

Full-time

Onsite

New Grad, Entry Level

$27/hr - $29/hr

D.A. Davidson Companies is an independent, employee-owned financial services firm with over 80 years of history. They are seeking a motivated and detail-oriented Client Associate to provide excellent client service and support alongside Financial Professionals in their Long Beach, CA branch.

Financial Services

Responsibilities

Provide extraordinarily professional and courteous client service managing client requests, account maintenance and effectively articulating certain requirements in a regulatory environment

Review, maintain and process account documents and information as well as solve complex issues and assignments related to client accounts and transactions including suspicious activity

Assist with crafting comprehensive financial plans for current and prospective clients

Assist in developing and implementing periodic client mailings, communications and events

Facilitate the transfer of client funds and/or securities and the issuance of checks upon request

Seek to innovate and streamline processes

Provide general support, including but not limited to phone, correspondence, appointments, filing and other projects as assigned

Adherence to all branch, firm and compliance policies, procedures, rules and regulations

Other projects and duties as assigned

Qualification

Securities Industry KnowledgeSIE CertificationSeries 7 CertificationMicrosoft Office SuiteCRM Software ExperienceCommunication SkillsProblem Solving SkillsAttention to DetailTime Management

Required

Opportunity to advance and grow in the Financial Services Industry ‒ Opportunity to complete the Securities Industry Essentials (SIE) and FINRA General Securities Representative (Series 7) Exam and Uniform Securities State Law Exam (Series 66 [or Series 63/65])

Some knowledge of the securities industry, its operations and products to include stocks, bonds, margin accounts, options, mutual funds, annuities and insurance products

High school graduate or comparable work experience. Post-secondary education preferred

Solid technology skills (Microsoft Word, Excel and Outlook). Experience with Thomson ONE, Envestnet, CRM, Money Guide Pro preferred

Excellent communication (written and verbal), problem solving and client service skills

Strong attention to detail and accuracy including the ability to perform semi-advanced math

Proven ability to manage multiple demands and competing priorities in a deadline-oriented environment

Ability to maintain regular, predictable attendance and to work overtime as needed