Sr. Client Account Associate

CorTalent - Minnetonka, MN

Our client is looking to hire a Sr. Client Account Associate to join their team. The Sr. Client Account Associate will interact with clients on administrative investment matters and helps maintain positive and effective client relations. This individual implements, coordinates and monitors clients’ investment accounts under the preview of the Financial Advisor. They are also responsible for maintaining accurate books, records and policies as it pertains to the broker dealer policies and procedures. This role offers an extremely competitive salary and benefits package.

 Core Responsibilities

  • Assist in onboarding new investment clients and opening accounts for existing clients.
  • Build and maintain strong client relationships which will include: reviewing client statements, reports and custodial websites, providing clients with information on existing accounts, scheduling appointments and reviews with the Financial Advisor, completing ACH transactions as requested, and Placing trades or trade requests as directed by the client and/or advisor.
  • Demonstrates proficiency in various technology platforms as it pertains to maintenance of client notes and updating client profiles within a CRM and Broker Dealer record keeping system.
  • Maintain the offices books and records for compliance including obtaining approvals for advertising material and gathering information for compliance audits.
  • Support positive and effective professional relationships by assisting colleagues with their workload as needed and providing training in areas of expertise.

Qualifications

  • Must have a clean background and be able to pass the broker dealer background check.
  • The ideal candidate will possess a strong operational background in the Financial Services Industry.
  • FINRA Series 7 and 63 or 66 License, MN Life & Health strongly preferred (or the ability to obtain the license within 90 days of hire).
  • Must have a positive attitude, be a problem solver, self-starter, a team player, and be committed to providing exceptional client service.


Posted On: Friday, May 6, 2022



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