Registered Client Associate

Harrison Gray Search has partnered with one of the oldest, most reputable investment advisors in the country to find its next Client Associate.

The Client Associate is a forward-facing member of the team with a mission to competitively deliver the highest quality service to clients in order to help them achieve their financial goals. This role is an integral part of the client/financial professional relationship as well as a valuable partner in the success of the branch. This position exemplifies our clients' core values of Integrity, Service is Personal, One Team, Communication and Initiative by communicating with clients, providing a personalized experience, and problem-solving. By facilitating these interactions and being an active, collaborative, and engaged employee, this role provides room for growth, career development, and advancement opportunities.The ideal candidate hired would have the potential opportunity to grow into a Junior FinancialProfessional over time and partner with a current FP this role supports.

This full-time role reports to the Branch Manager with additional feedback gathered from the assigned Financial Professionals (FPs). Working hours are Monday - Friday 8:30 AM to 5:00 PM EST. This role requires a minimum of 3-4 days in the office per week.

Role Responsibilities

Client/Financial Professional Team Duties (70%)

• Directly communicate with clients to service their account requests or concerns via phone, email, or other mediums
• Plan and arrange client meetings
• Document and execute money moves - deposits, ACH, wires, withdrawals, rollovers, etc.
• Complete data entry for MoneyguidePro plans and assist with Riskalyze questionnaire completion
• Assist with new account openings and maintain contact with new clients to verify account information, beneficiary designation, address changes, etc.
• Assist with new financial professional transition when assigned
• Maintain working relationships with other business functions to ensure seamless business practices and troubleshoot problems when they arise
• Compliance, Operations, IT, Strategic Initiatives, Training Center, etc.
• Perform research for client portfolios, as assigned
• As experience progresses, maintain open communication with assigned FPs to discuss financial opportunities and client financial plans
• Collaborate with Marketing to assist with financial professional marketing strategies and initiatives
• Contribute to Client Associate RingCentral chat to share knowledge with others
• Assist with other branch coverage when needed
• Adhere to and keep up to date on Compliance and firm policies and participate in firm-sponsored trainings
• Ensure and maintain good standing with all FINRA/SEC rules and regulations including licensure and continuing education requirements, if applicable

Office Administrative (20%)

• Maintain and organize client files, CRM Redtail notes, and documentation
• Utilize DocuSign and DocuPace for form signature, distribution, and documentation
• If the branch does not have a designated mail clerk, collect, distribute, and send branch mail
• Contribute to the upkeep and image of the branch brand
• Greet clients, stock kitchens, maintain cleanliness, etc.
• May be asked to help facilitate firm-wide initiatives or events at local branch
• Provide administrative support to assigned Financial Professional(s) and Branch Manager as needed
• Other duties as assigned

Other (10%)

• Take initiative in career growth by enrolling in Google Classroom courses and provided development opportunities
• Compile monthly reports for assigned client/financial professional teams
• Submit monthly expense reports to provide accurate P&L data
• Be an active culture carrier within teams and contribute to a positive team morale

Key Measurements

• Ability to integrate into Financial Professional(s) business and build rapport with clients
• Accomplishment of annual organizational, team, and personal goals as communicated by management
• Revenue growth for the Financial Professional(s) business as well as overall growth for the firm
• Activity volume measured from communications, workflow items, adoption of new tools and professional development courses

Minimum Requirements

• 0-3 years of relevant experience
• Associate Degree in Business, Finance, or related field
• SIE licensed or able to attain within first year of employment
• Confident in using Microsoft Office Suite and Google Suite
• Comfortable taking initiative and being part of a team
• Ability to sit for long periods of time and lift at least 10 pounds
• Competent in the following Knowledge, Skills, and Abilities:
• Customer Service
• Math
• Clerical Work
• Reading, Writing, and Oral Expression
• Active Listening
• Critical Thinking
• Social Perceptiveness
• Coordination
• Time Management
• Deductive and Inductive Reasoning
• Empathy
• Selective Attention
• Time Sharing
• Memorization

Preferred Requirements

• Bachelors Degree in Business, Finance, or related field
• Experience with RBC and AOS

Compensation

• Salary commensurate with experience: $60,000 - $75,000
• Total Rewards Benefits Package:
• Medical, Dental & Vision
• Short Term Disability, Long Term Disability, Life Insurance, and optional Supplemental Life insurance for employee, spouse, and dependents
• 401k plans with yearly match
• Flexible spending accounts
• PTO: vacation, personal days, sick time, and volunteerism day to encourage community involvement