Registered Client Service Associate

Lafayette, United StatesOn-SiteFull-time3–5 yrs experiencePosted 2w ago

Job description

PURPOSE OF THE JOB

Actively involved in supporting the Retail Financial Advisor(s) in the sales and service of investment, fiduciary, and insurance products through a full-service brokerage platform to (institution) and (non-institution) clients.

MAIN DUTIES OF THE JOB

Accountable for assisting in the achievement of designated sales revenue goals as determined by Sales Management. This is accomplished through customer contact, relationship building, ongoing development of sales, financial planning, referral source management, technical and interpersonal skills.
Responsible for thorough research and resolution of client inquiries.
Provides overall direction for activities related to administrative operations management.
Managing a very large volume of financial and other operational details with exceptional follow through, and ability to create systems to avoid mistakes.
Ability to report back in an efficient, systematic and timely manner to other staff on tasks completed, and next steps required.
Working with trading software, executing trades, and managing account transfers.
Advancing clients to next stage in sales process through written communication, reminders to other staff, and follow through.
Implements and monitors office policies and procedures to comply with federal and state regulations and ensures the firm’s overall compliance with LPL/FINRA/SEC.
Additionally, assists in creating reports, follow-up communication, and departmental research in conjunction with adviser needs and ensures overall high-quality client service in the office environment.
Active role in solving operational problems and a strong role in branch operations systems in order remain compliant with LPL’s policies and procedures.
Performs all other duties as assigned

WHAT WILL YOU NEED TO SUCCEED

Bachelor’s degree in finance, accounting, economics, business administration or related field preferred but not required
3-5 years financial services experience required
FINRA Series 7, 63 and 65 or 66 licenses required
Louisiana Life/Variable Insurance (LAH) licenses required

HOME BANK IS AN EQUAL OPPORTUNITY EMPLOYER

GOOD CREDIT IS A MUST

CREDIT REPORT IS REQUIRED FOR EMPLOYMENT

Job details are sourced from the employer's original posting.

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About the company

Home Bank

Home Bank is a community-focused financial institution offering a range of banking services.

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Industry: Banking
Open roles: 14