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Action Placements LLC · 1 day ago

Registered Client Associate

Baltimore, MD

Full-time

Onsite

Entry Level

2+ years exp

Action Placements LLC is seeking a Registered Client Associate to provide administrative and operational support to Financial Advisors and clients. The role involves managing client relationships, assisting with financial transactions, and ensuring compliance with industry regulations.

Staffing & Recruiting

Hiring Manager

Luke McStravick

Responsibilities

Serve as a liaison between client and FA to manage and service new and existing relationships

Provide support during the sales process by coordinating paperwork, conducting research, and helping with the on-boarding of new clients

Manage and track sales leads and opportunities and ensure timely follow-up

Maintain and update client records, ensuring accuracy and compliance with regulatory requirements

Prepare client account opening forms, transaction forms, and other required documentation

Respond to client inquiries, address issues and provide updates on their investment portfolios

Assist with the processing of client transactions (trades, transfers, withdrawals, etc.)

Coordinate account transfers and new account openings

Answer inbound phone calls and make outbound calls with updates on service requests

Remain current on all policies, procedures and platforms

Participate in firm initiatives (training, continuing education, etc.), complete special projects and/or other duties directed by management

Qualification

Active Series 7Active Series 66Financial services knowledgeMicrosoft Office SuiteAnalytical skillsPresentation skillsCritical thinkingTime managementOrganizational skillsCommunication skillsAttention to detail

Required

High School Diploma

Active Series 7 and Series 66 (Or Series 63 and Series 65)

2 or more years of previous industry experience

Excellent analytic, presentation, evaluation, and critical thinking skills

Proficient with Microsoft Office Suite

Knowledge of financial services products, including but not limited to equities, bonds, options, mutual funds, annuities, insurance and managed accounts

Capable of working well both independently and as a member of a team

Strong time management skills

Strategic-thinker, analytical, problem solver

Superior organizational skills

Excellent verbal, written and interpersonal communication skills

Meticulous and great attention to detail and accuracy

Unquestionable integrity and ethical character