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The Client Service Associate will use advanced skills gained through training and experience to provide pro-active support to financial advisors and assist with efficient, quality client service. The Sales Assistant will follow established procedures to perform routine tasks and receive general guidance and direction to perform other work with substantial variety and complexity requiring limited decision-making responsibility. Extensive contact with internal and external clients to resolve most questions and problems and refers new or unusual issues to a higher level.

Position Responsibilities:

• Interact daily on the phone and in person with prospective and existing clients including handling basic inquiries and providing quotes.
• Solicit and receive orders for the Financial Advisor.
• Enter unsolicited trades at the direction of the Financial Advisor.
• Service less active accounts.
• Research client and security information through the back-office system.
• Processes and follows up on client documentation for proper maintenance of accounts.
• Prepares letters, forms, and spreadsheets to assist with servicing existing clients and prospecting for new clients.
• Creates and maintains records and files.
• Ensures required client paperwork is current with firm and industry requirements, rules and regulations.
• Maintains databases and creates reports using portfolio software programs.
• Assists Financial Advisors with marketing efforts including seminars, etc.
• Receives and processes securities.
• Participates in and receives cross-training, as well as assists with other operational functions as required.
• Performs other duties and responsibilities as assigned.