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    Registered Client Service Associate


    , Colorado Springs, CO 80906

      Registered Client Service Associate

      Colorado Springs, CO 80906
      Similar jobs pay $12.10 - $16.01
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      Job Description

      Sullivan & Associates is an Independent Registered Investment Advisor firm partnered with Raymond James Financial Services that provides personalized financial advice to their clients.

      We offer:

      • Health and Dental Insurance
      • Paid Time Off & Holidays
      • 401k Matching
      • Bonuses

      Your role at S&A would be to assist the financial advisor in day to day operations which includes:

      • Answering inbound client questions regarding accounts while servicing any issues surrounding the clients’ accounts.
      • Preparing reports, letters, forms, and spreadsheets for client and prospect meetings.
      • Researching client and security information through the back office system.
      • Performing trades, wires, deposits, fund transfers, distributions, and other account maintenance operations.
      • Maintaining files and entering client notes in CRM.
      • Ensuring required client paperwork is current with firm and industry requirements, rules, and regulations.
      • Performs other duties and responsibilities as assigned.

      Qualifications & Education:

      • Financial background and/or finance degree is a plus.
      • Series 7, 66 or 63/65 preferred or SIE provided that grandfathering cannot be applied.
      • College degree preferred.
      • Must be detailed oriented and organized with excellent communication and client service skills.
      • Computer experience with Microsoft Word, Excel, Client Relationship Manager, or equivalent

      We expect our associates at all levels to:

      • Grow professionally and inspire others to do the same.
      • Work with and through others to achieve desired outcomes.
      • Make prompt, pragmatic choices and act with the client in mind.
      • Take ownership and hold themselves and others accountable for delivering results that matter.
      • Contribute to the continuous evolution of the firm.


      Posting ID: 600959884Posted: 2021-01-23