Client associate [h1.location_city]

Role Description

The Registered Client Associate is a forward facing member of the Moors & Cabot 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 Moors & Cabot's 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.

This full-time role reports to the Branch Manager with additional feedback gathered from the assigned Financial Professionals (FPs). Working hours are Monday - Friday 7 : 30 AM to 4 : 00 PM MST.

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 - trades, 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
• Service advisory accounts, as applicable
• 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.

Office Administrative (20%)

Greet clients, stock kitchens, maintain cleanliness, etc.

Other (10%)

Key Measurements

Minimum Requirements

Customer Service

Preferred Requirements

About Us

Since its founding in 1890, Moors & Cabot and its people have defined the meaning of financial services. The firm has participated in the retail sale of stocks and bonds to individuals and the institutional sale of stocks and bonds to most of Boston's money management firms. In addition to specializing in wealth management through full service registered representatives, Moors & Cabot offers investors additional investment tools such as cash management accounts, retirement planning, mutual funds, annuities and other insurance products.

Moors & Cabot is an equal opportunity employer. All aspects of employment including the decision to hire, promote, discipline, or discharge, will be based on merit, competence, performance, and business needs. We do not discriminate on the basis of race, color, religion, marital status, age, national origin, ancestry, physical or mental disability, medical condition, pregnancy, genetic information, gender, sexual orientation, gender identity or expression, veteran status, or any other status protected under federal, state, or local law.

We utilize the Department of Homeland Security's employee authorization program, E-Verify. E-Verify confirms employment eligibility by comparing the employee's Form I-9 information entered in E-Verify by the employer with the information in records available to SSA and / or DHS.