Client Associate, Receptionist

    • Job Tracking ID: 85444-350999
    • Job Location: Long Beach, CA
    • Job Level: Any
    • Level of Education: Any
    • Job Type: Full-Time/Regular
    • Date Updated: 10/11/2022
    • Years of Experience: Not Applicable
    • 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 outstanding service to our clients and each other. We support a friendly, open and supportive 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.

Summary/Function:
We are currently seeking an extraordinarily sharp, motivated and detail focused Client Associate, Receptionist to provide administrative and operational support for one or more Financial Advisors (FAs). The support provided will vary depending on the requirements of the FAs and the branch. This is an outstanding career opportunity in the Financial Services Industry. This team-critical role is the first point of contact for our clients, guests and callers and requires outstanding attention to detail, the ability to balance multiple requests, execute financial services cashiering and administrative duties, outstanding client service skills, and a high level of integrity and confidentiality with respect to client, FA, branch and company information.

Experience and Skills

Qualifications:
* Solid understanding of the securities industry, its operations and its products to include stocks, bonds, margin accounts, options, various retirement plans (IRAs, Simple, Roth) mutual funds, annuities, or willingness to complete the FINRA General Securities Representative (Series 7) Exam and Uniform Combined State Law Exam (Series 66) within one year of employment.
* Familiar with general Company business policies and procedures, as well as back-office operations and security industry requirements.
* High School diploma, GED or comparable work experience. Post-Secondary education preferred. Prior confirmed experience in the industry a plus.
* Proficient computer skills (working knowledge of Microsoft Word, Excel and Outlook).
* Mathematical aptitude.
* Strong communications skills; verbal and written.
* Good organizational and problem solving skills.
* Attention to detail.
* Ability to accomplish multiple demands and contending priorities in a deadline-oriented environment.
* Ability to maintain a high level of confidentiality.
* Ability to work in a computerized environment.

Duties:
* Provide professional, courteous, customer service at all times to ensure client satisfaction.
* Ensure adherence to all Branch, Firm and Compliance policies, procedures rules and regulations.
* Inform FAs of all meaningful information and activities related to their client’s accounts and transactions in a timely manner.
* Watch for potential problems and alert the FA, Branch Operations Manager and/or the Branch Manager as necessary.
* Facilitate the transfer of client funds and/or securities at the direction of the FA.
* Review and maintain all account documents and information.
* Compose letters and memoranda in accordance with established policies and procedures.
* May provide backup for other support positions in the branch.
* Understand and utilize the Firm’s desktop systems and applications and the related functionality as it applies to client service and business improvement.
* Receive and return phone calls; take messages, transfer calls, answer routing questions and provide information when possible.
* Greet visitors; decide nature of the visit, contact appropriate personnel and introduce guest.
* Perform any other duties and special projects as necessary!

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.