Registered Client Associate

    • Job Tracking ID: 85444-308351
    • Job Location: Roseville, CA
    • Job Level: Mid Career (2+ years)
    • Level of Education: Any
    • Job Type: Full-Time/Regular
    • Date Updated: 08/11/2020
    • Years of Experience: 2+
    • Starting Date: ASAP
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Job Description

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning more than 80 years. We are dedicated to conducting our business in accordance with the highest standards of integrity and ethics, and delivering exceptional service to our clients and each other. We support a friendly, open and respectful culture, and encourage candid communication and productive engagement that make our companies and each of us better. Just as we work to improve our clients’ financial well-being, we also work to strengthen local communities—and giving back is one of our core values. You can learn more about our company culture and impact in our latest annual report.

We are currently seeking an exceptionally forward-thinking, client service centric, and detail focused Registered Client Associate to support our Financial Advisors (FAs) and their clients. This team-critical role requires outstanding attention to detail, the ability to balance multiple requests, outstanding client service skills, and a high level of integrity and confidentiality with respect to client, FA, branch and company information. Additionally, the Registered Client Associate may be required to function independently in the FA’s absence and maintain responsibilities of the desk in accordance with branch, firm and regulatory policies and procedures.

Experience and Skills

Primary Qualifications:
* Successful completion of the (SIE) Securities Industry Essentials and FINRA General Securities Representative (Series 7) Exam and Uniform Securities State Law Exam (Series 66 [or Series 63/65]) is required.
* Significant knowledge of the securities industry, its operations and products to include stocks, bonds, margin accounts, options, mutual funds, annuities and insurance products.
* At least two years previous experience as a Registered Client Associate.
* Post-Secondary education preferred.
* Solid technology skills (Microsoft Word, Excel and Outlook). Experience with Thomson ONE, Envestnet, CRM, Money Guide Pro preferred.
* Excellent communication (written and verbal), problem solving and client service skills.
* Strong attention to detail and accuracy including the ability to perform semi-advanced math.
* Proven ability to manage multiple demands and competing priorities in a deadline-oriented environment.
* Ability to maintain regular, predictable attendance and to work overtime as needed.

Primary Duties:
* Provide exceptionally professional and courteous customer service supporting client satisfaction including effectively articulating certain requirements in a regulatory environment.
* Adherence to all Branch, Firm and Compliance policies, procedures, rules and regulations.
* Review, maintain and process account documents and information - Inform FA of meaningful information and activities related to client accounts and transactions including suspicious activity.
* Assist FA with comprehensive financial plans for current and prospective clients.
* Assist FA in developing and implementing periodic client mailings, communications and events.
* Facilitate the transfer of client funds and/or securities and the issuance of checks upon request.
* Enter orders to include buy/sell stock and bond trades, sell stop orders, option and margin trades and mutual funds.
* Provide administrative support, including but not limited to phone, correspondence, appointments, filing and other projects as assigned by the FA and/or Branch Manager.
* Other projects and duties as assigned!

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.