Registered Client Associate

Job Description

Job Description

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.

Research client portfolios as assigned and as experience is gained remain knowledgeable about financial markets

Determining client needs through service to initiate opportunities for Financial Professionals

Maintain open communication with assigned FPs to discuss financial opportunities and develop client financial plans as directed

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 training

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 including documentation of client interactions within Redtail CRM

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

3-7 years of relevant experience

Associate Degree in Business, Finance, or related field

Series 7 and 66 (63 / 65) licensed

Confident in using Microsoft Office Suite and Google Suite

Competent using Concur, RBC, AOS, RedOak, RedTail

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

Initiative

Persuasion

Negotiation

Preferred Requirements

Bachelor’s Degree in Business, Finance, or related field

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.