Client Associate

TSG Wealth Management is expanding and we are always looking for quality Client Associates to ensure we maintain our clients’ first approach to service. We foster a fun and inclusive environment that is focused on delivering for our clients while creating a positive and enjoyable work experience. Our state-of-the-art offices and open floor plans give you the tools and environment you’ll need to thrive in your career. We take pride in supporting your goals because we know that you are the connectors that separates TSG Wealth Management from the pack. If you’re looking for a place that will respect and support you, then get in touch today!

Some of the benefits of joining our team include:

✓ Top-tier Compensation

✓ Health Insurance

✓ 401k Match

✓ Company Outings and Events

✓ A Fun and Inclusive Environment

✓ Goal Oriented and Supportive Team

✓ Opportunities for Advancement and Education

✓ Community Give-Back Projects

In This Role, You Will

· Assist financial advisors by providing sales and servicing support

· Proactively seek ways to improve administrative and operational processes, and offer ideas for own work group

· Perform moderately complex administrative tasks, handle telephone calls, and other inquiries for research reports as well as resolve account issues

· Establish and maintain files to meet regulatory requirements

· Create and produce reports as well as databases while establishing and maintaining files and record to support sales efforts

· Receive direction from supervisors and escalate non-routine questions to more experienced roles

· Interact with immediate Brokerage Client Support team and functional area on wide range of information, as well as internal and external customers

Required Qualifications, US:

· 2+ years of Brokerage and Client Services experience, or equivalent demonstrated through one or a combination of the following: work experience, training, education

· Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify for immediate registration (or FINRA recognized equivalents)

Desired Qualifications:

· Brokerage industry experience

• Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Experience interacting directly with customers
• Ability to provide administrative support, including responding to prospect/customer inquiries and requests for information
• Brokerage client support experience
• Knowledge and understanding of brokerage: systems or applications
• Ability to work effectively in a team environment
• Knowledge and understanding of administrative support: filing, faxing, copying, and data entry

Salary Range:

Registered Client Associate: $55,000 - $80,000

Senior Registered Client Associate: $70,000-$100,000

Job Expectations:

· Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA review process at the time of offer acceptance.

· For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required