**Essential Duties and Responsibilities** • Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes and scheduling of meetings, with prospective and existing clients on the phone, in-person, virtually and through mailings. • Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office. • Onboards new clients, opens new client accounts and researches client and security information using internal databases and other technologies. • Ensures key client information and documentation is current with firm and industry requirements, rules and regulations. • Processes and monitors the transfer of assets to ensure all assets and cost basis were successfully received. • Monitors available cash awaiting investment, including running weekly cash and cash equivalent reports and contacting clients with investment opportunities to maximize returns. • Reviews, assesses and responds to all corporate action items and client account alerts. • Prepares financial reports, spreadsheets and other materials for client meetings. • Inputs orders and rebalances portfolios on behalf of the Financial Advisors. • Creates and maintains records and files utilizing Client Relationship Management (CRM) software. • Assists Financial Advisors with marketing efforts including seminars and other client-facing events. • Actively engages in available training/cross-training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures. • Performs other duties and responsibilities as assigned. **Qualifications - External** **Knowledge, Skills, and Abilities** **Knowledge of** • Company’s working structure, policies, mission, and strategies. • Managed account platforms. • General office practices, procedures, and methods. • Investment concepts, practices and procedures used in the securities industry. • Financial markets, products and industry regulations. • Trading terminology. **Skill in** • Client Relationship Management (CRM) software, or similar contact management software. • Goal planning software. • Excel, including developing spreadsheets as needed and for ongoing reporting. • Effective communication across multiple client interactive platforms (in-person, virtual, phone and mail) **Ability to** • Operate standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases. • Analyze and research account information. • Organize, manage, and track multiple, detailed tasks and assignments with. frequently changing priorities and deadlines in a fast-paced, task-oriented work environment. • Identify time sensitive items and assess competing priorities. • Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns. • Handle stressful situations and provide a high level of customer service in a calm and professional manner. • Analyze problems and establish solutions in a fast paced environment. • Use mathematics sufficient to process account and transaction information. • Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels, in person and virtually. • Work both independently and as part of a cohesive team. • Provide a high level of customer service. **Educational/Previous Experience Requirements** **Education/Previous Experience** • High School Diploma or equivalent and one (1) or more years securities industry or related work experience preferred. • OR ~ • An equivalent combination of experience, education, and/or training as approved by Human Resources. **Licenses/Certifications** • SIE required provided that an exemption or grandfathering cannot be applied. • Series 7 required. • Series 63, 65 and/or 66 as required by state.