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Form of workJob Description
Registered Client Services Associate
Position Function:
The Registered Client Services Associate will be Responsible for providing logistical, analytical, and clerical sales support to the Wealth Advisors.
Performs all duties and interacts with internal and external customers in a manner aligned with the Company's Core Values of Voyaging Spirit and Positively Ohana; Customer Experience Competencies of Customer Interaction, Empowerment and Ownership; and Basic Skills of Listening, Oral Communication, Written Communication, Action Orientated, Thoroughness, Problem Solving.
Primary Accountabilities:
Wealth Advisor Support:
Responsible for opening new accounts, performing account transfers, setting client appointments, assisting Wealth Advisors with office files, following up on account numbers, incoming transfers, missing items, verifying monetary transactions, placing orders, and other items that increase production.
Customer Support:
Responsible for assisting customers with servicing issues, such as account maintenance, check orders, record changes, researching customer inquiries, RMD’s etc.
Buys/Sells on customers’ requests, process new business on the Annuity Order Entry system on LPL System.
Meets with clients to discuss products as needed.
Relationship Banking/Relationship
Provides analytical, logistical, and clerical support for sales and special projects, including sales campaigns, investment seminars, trade shows and other activities to promote sales opportunities, with efficiency and cost-effectiveness for Investment Services and business partners.
Maintains internal service standards.
Risk Management/Compliance
Responsible for following internal procedures to achieve satisfactory internal, LPL, FDIC audits.
Complies in a timely manner with all compliance requests.
Adheres to Bank policies and procedures.
Minimum Qualifications:
Education:
- H.S. Diploma or higher education and/or equivalent work experience required.
Experience:
- 4+ years in sales/service or similar role required.
- Series 7 and Series 66 license required.
- Life and Health Insurance license required.
- Must be able to perform light physical work and to move or lift items including but not limited to boxes, files and papers up to 20 pounds unless otherwise as indicated.
- Must be able to operate and proficiently use standard office equipment, including phone, copier, personal computer and/or other work related mechanical or electronic devices and applications.
- Must be able to clearly communicate verbally and in writing with all internal and external customers. Must also be able to hear sufficiently to engage in daily discussions and interactions.
- Must be able to read and understand bank-related documents.
- Must be able to work in a conventional office setting, involving sitting at a desk or workstation for long periods of time. Must also be able to adapt to different work environments as needed to perform the job.
- We are proud to be an EEO/AA employer M/F/D/V. We maintain a drug-free workplace and perform pre-employment substance abuse testing.
