Registered Client Relationship Analyst

POSITION SUMMARY

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Registered Client Relationship Analysts provide exceptional service to our clients and support Financial Advisor(s) (FAs)/ Private Wealth Advisor(s) (PWAs)/ teams on a daily basis. Through regular interactions with clients, individuals in this role build trusted relationships. Leading with a client first mindset, a successful candidate for this role will have strong interpersonal skills and will be able to assist clients with their everyday needs.

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DUTIES and RESPONSIBILITIES:

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CLIENT SUPPORT

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Provide service coverage for a FA/PWA/team including:

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• Supporting the FA/PWA/team in cultivating and enhancing new and existing client relationships

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• Executing money movement transactions at the request of the client and/or FA/PWA/team

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• Answering general non-investment related questions concerning client accounts, including relaying stock positions and providing account balances (e.g., funds due and margin debit)

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• Enter profile information or pre-fill account documentation on client accounts and/or documents in a clerical capacity at the direction of the client and/or FA/PWA/team

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• Educating or enrolling clients in digital tools (e.g. MSOnline, eSign, eAuthorization)

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• Onboard and maintain client accounts, including collecting client information and required documentation in a clerical capacity at the direction of the client and/or FA/PWA/team

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• Provide existing clients with details around their account information (e.g., investment objectives,

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risk tolerance)

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• Accept or enter unsolicited orders and/or enter solicited orders in a clerical capacity at the direction of the FA/PWA/team

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• Assists Financial Advisor(s) / team in delivering against their business plan and client service model

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• Supporting the Financial Advisor/ team marketing strategy (e.g, website maintenance)

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• Assist FAs/PWAs/teams in a clerical capacity with research relating to investment portfolio holdings,

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performance reporting, etc. and preparing materials for client meetings using firm approved systems

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• Assist with data entry for key client needs such as new account opening and financial planning at the direction of the FAs/PWAs/teams

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• Remaining current on all policies, procedures and new platforms

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• Participating in firm initiatives (e.g., training or education programs), special projects and/or other duties directed by local management.

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ADMINISTRATIVE SUPPORT:

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• Answering inbound phone calls or making outbound calls with updates on service requests (e.g., scheduling follow-up calls with Financial Advisor / teams as needed)

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• Managing the calendar including coordinating meetings or events with logistics such as material prep (e.g., maintaining agendas, sending calendar invites with Zoom credentials)

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• Maintaining travel itineraries, preparing expense reports and managing the reimbursement process

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• Assisting with general in-office support functions such as copying, filing and scanning documentation

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• Preparing and submitting expense reports for processing at the direction of the FA/PWA

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EDUCATION, EXPERIENCE, KNOWLEDGE, and SKILLS:

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Education and/or Experience

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• High School Diploma/Equivalency

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• College degree preferred

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• Active Series 7 (GS), and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA)

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• Two or more years of industry experience preferred

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Knowledge/Skills

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

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• Detail orientated with superior organizational skills and ability to prioritize

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• Advanced Microsoft Office skills (Word, Excel, Outlook and PowerPoint)

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• Exceptional writing, interpersonal and client service skills

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• Strong time management skills

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• Team player with the ability to collaborate with others

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• Ability to work in a fast-paced, evolving environment

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• Adaptable and ability to multitask

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• Goal oriented, self-motivated and results driven

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Reports to:

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• Business Service Officer

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