Client Service Associate
bci brokerage consultantsHouston, TX
Client Service Associate
bci brokerage consultantsHouston, TX
2 days ago
Occupations
Securities, Commodities, and Financial Services Sales AgentsBrokerage ClerksPersonal Financial AdvisorsIndustries
Portfolio Management and Investment AdviceMiscellaneous Financial Investment ActivitiesInvestment Banking and Securities IntermediationAbout the role
Client Service Associate | Houston, TXHouston investment advisor seeks motivated Client Service Associate to enhance the client experience by servicing clients and providing operational/administrative support to Financial Advisors.
Responsibilities:
- Prepare/submit onboarding and investment paperwork to clients by request of advisor
- Ensure investment data is posted, transferred or input into CRMSubmit paperwork to the custodian; follow up with custodian to ensure accounts have been put into place
- Maintain prospectuses hard copy and digital versions for variable products including, annuities, REITS, alternative investments
- Answer any client questions/requests pertaining to their investments
- Assist in maintaining the following client files in support of industry compliance requirements and audits: statements for 6 years, new applications for 6 years after the account is closed, confirms for 3 years, advertising and correspondence specific to client for 3 years
- Ensure that all clients who should be taking RMD's including beneficiary IRA's are completed in a timely manner no later than December 1st of each year
- Check that advisors are appropriately registered for states outside of Texas when needed
- Develop BD training and education materials for financial professionals
- Monitor websites to ensure advisor registrations are up to date
- Liaison between broker-dealer compliance and company office
- Review relevant BD regulations & keep abreast of regulatory changes & updates
- Submit recommendations to BDPrepare for branch audits
- Vet all vendor requests and new product information for company use
- Monitor/track compensation splits to ensure commissions are accurate
- Review items needed for client annual review meeting
Requirements:
- Bachelor's degree preferred; FINRA Series 6 or 7, 63, 65 or 66 required upon hire if not currently held 5+ years of financial service experience a plus
- Knowledge of data bases and CRM systems; industry knowledge a plus
- Client-focused and thorough with high attention to detail; ability to find solutions; strong level of confidentiality; self-starter and motivator; efficient, quick learner and tech savvy
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JOB OVERVIEW
Experience level
Junior
Location
Houston, TX
Occupation
Securities, Commodities, and Financial Services Sales Agents
Industry
Portfolio Management and Investment Advice
Posted
2 days ago
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