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D.A. Davidson Companies · 15 hours ago

Registered Client Associate

Bellevue, WA

Full-time

Onsite

Mid Level

$26.44/hr - $31.25/hr

3+ years exp

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning more than 80 years. They are seeking a Registered Client Associate to provide exceptional client service, manage account documents, and assist financial advisors with comprehensive financial plans. The role requires attention to detail, strong communication skills, and adherence to compliance policies.

Financial Services

Responsibilities

Provide exceptionally professional and courteous customer service supporting client satisfaction including effectively articulating certain requirements in a regulatory environment

Adherence to all Branch, Firm and Compliance policies, procedures, rules and regulations

Review, maintain and process account documents and information - Inform FA of meaningful information and activities related to client accounts and transactions including suspicious activity

Assist FA with comprehensive financial plans for current and prospective clients

Assist FA 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

Enter orders to include buy/sell stock and bond trades, sell stop orders, option and margin trades and mutual funds

Provide administrative support, including but not limited to phone, correspondence, appointments, filing and other projects as assigned by the FA and/or Branch Manager

Other projects and duties as assigned!

Qualification

Securities Industry EssentialsFINRA Series 7 ExamSeries 66/63/65 ExamSecurities knowledgeMicrosoft OfficeThomson ONECRM softwareClient service skillsAttention to detailProblem solvingCommunication skills

Required

Successful completion of the (SIE) Securities Industry Essentials and FINRA General Securities Representative (Series 7) Exam and Uniform Securities State Law Exam (Series 66 [or Series 63/65]) or the ability to obtain licensing is required

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

At least 3+ years previous experience as a Registered Client Associate

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