Apply on Employer Site

Benjamin F. Edwards · 21 hours ago

Senior Registered Financial Client Associate

Wheaton, IL

Full-time

Onsite

Senior Level, Lead/Staff

$29/hr - $37/hr

10+ years exp

Benjamin F. Edwards is a firm that values its advisors and clients, and they are seeking a Senior Registered Financial Client Associate to provide exceptional service and support to Financial Advisors and clients. The role involves administrative support, client service, and maintaining client accounts while ensuring compliance with regulations.

ConsultingFinancial Services

Growth Opportunities

Responsibilities

Provide client service and support related to check requests, deposits, wiring funds, record-keeping and adjustments

Assist with preparing reports and materials for client meetings

May participate in live meetings with the Financial Advisor (s) and their clients

Provide quotes and other account-related information to assist clients

Accept and enter orders from clients and/or on behalf of the Financial Advisor (s)

Assist Financial Advisor(s) with opening new accounts and send required account and transaction documents to clients

Interacts daily on the phone and in person with clients handling basic inquiries and scheduling appointments

Ensure client information and documentation is current with firm and industry requirements, rules, and regulations. Research and resolve account problems, missing documents, etc

Identify errors and initiate corrective measures. Follow up and relay correct information to clients

Create, prepare and review daily client reports for Financial Advisor(s)

Act as liaison between the Branch and Home Office for various projects and issues, such as technology needs, outside vendors, branch procedures, etc

Assist Financial Advisor(s) with the prospecting of new clients through mailings and seminars

Maintain files in accordance with firm and regulatory guidelines

Perform various administrative tasks including but not limited to scanning and organizing documents, scheduling client meetings and calendar events, executing daily tasks and notification, preparing correspondence and assist with mailing and client requests

Acts as a mentor and is a resource to other team members; assists with training as needed

Perform administrative duties as required by the Financial Advisor(s) or Branch Manager

Provide backup support as required to other branch support personnel

Perform other related duties as assigned

Qualification

Series 7Series 63/65Series 66Client service experienceMicrosoft Office SuiteProblem analysisProfessionalismDiscretionTeam collaborationInitiativeOrganizational skillsCommunication skills

Required

Proficient experience with Microsoft Office Suite and ability to learn other software and technology

Analyze problems and establish solutions

Ability to work independently with minimal supervision and as a member of a team; collaborate with others

Ability to demonstrate seasoned judgement by handling clients with a high degree of professionalism

Take initiative and proactively follow up on items to ensure completion, resolve errors, answer questions and follow up on concerns

Organize, prioritize and manage multiple tasks in a fast-paced, evolving environment while delivering accurate and timely results

Excellent communicator (oral and written) across a wide variety of communication channels (in-person, phone and virtually); solid interpersonal skills

Exercise discretion in handling confidential information

Minimum Required: Bachelor's degree or equivalent work experience

Minimum required: 10+ years of client service experiences in financial services experience or equivalent

Minimum required: Series 7 and Series 63/65 or Series 66