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Client Associate

2 months ago

Naples, United States Moors & Cabot Inc Full time
Job DescriptionJob Description

Role Description

The Client Associate is a forward facing member of the Moors & Cabot team with a mission to competitively deliver the highest quality service to clients in order to help them achieve their financial goals. This role is an integral part of the client/financial professional relationship as well as a valuable partner in the success of the branch. This position exemplifies Moors & Cabot’s core values of Integrity, Service is Personal, One Team, Communication and Initiative by communicating with clients, providing a personalized experience, and problem solving. By facilitating these interactions and being an active, collaborative and engaged employee, this role provides room for growth and advancement opportunities.

This full-time role reports to the Branch Manager with additional feedback gathered from the assigned Financial Professionals (FPs). Working hours are Monday - Friday 8:30 AM to 5:00 PM EST.


Role Responsibilities

Client/Financial Professional Team Duties (70%)

  • Directly communicate with clients to service their account requests or concerns via phone, email, or other mediums

  • Plan and arrange client meetings

  • Document and execute money moves - deposits, ACH, wires, withdrawals, rollovers, etc.

  • Complete data entry for MoneyguidePro plans and assist with Riskalyze questionnaire completion

  • Assist with new account openings and maintain contact with new clients to verify account information, beneficiary designation, address changes, etc.

  • Assist with new financial professional transition when assigned

  • Maintain working relationships with other business functions to ensure seamless business practices and troubleshoot problems when they arise

    • Compliance, Operations, IT, Strategic Initiatives, Training Center, etc.

  • Perform research for client portfolios, as assigned

  • As experience progresses, maintain open communication with assigned FPs to discuss financial opportunities and client financial plans

  • Collaborate with Marketing to assist with financial professional marketing strategies and initiatives

  • Contribute to Client Associate RingCentral chat to share knowledge with others

  • Assist with other branch coverage when needed

  • Adhere to and keep up to date on Compliance and firm policies and participate in firm sponsored trainings

  • Ensure and maintain good standing with all FINRA/SEC rules and regulations including licensure and continuing education requirements, if applicable

Office Administrative (20%)

  • Maintain and organize client files, CRM Redtail notes, and documentation

  • Utilize DocuSign and DocuPace for form signature, distribution, and documentation

  • If the branch does not have a designated mail clerk, collect, distribute, and send branch mail

  • Contribute to the upkeep and image of the branch brand

    • Greet clients, stock kitchens, maintain cleanliness, etc.

  • May be asked to help facilitate firm wide initiatives or events at local branch

  • Provide administrative support to assigned Financial Professional(s) and Branch Manager as needed

  • Other duties as assigned

Other (10%)

  • Take initiative in career growth by enrolling in Google Classroom courses and provided development opportunities

  • Compile monthly reports for assigned client/financial professional teams

  • Submit monthly expense reports to provide accurate P&L data

  • Be an active culture carrier within teams and contribute to a positive team morale



Key Measurements

  • Ability to integrate into Financial Professional(s)’ business and build rapport with clients

  • Accomplishment of annual organizational, team and personal goals as communicated by management

  • Revenue growth for the Financial Professional(s)’ business as well as overall growth for the firm

  • Activity volume measured from communications, workflow items, adoption of new tools and professional development courses


Minimum Requirements

  • 0-3 years of relevant experience

  • Associate Degree in Business, Finance, or related field

  • SIE licensed or able to attain within first year of employment

  • Confident in using Microsoft Office Suite and Google Suite

  • Comfortable taking initiative and being part of a team

  • Ability to sit for long periods of time and lift at least 10 pounds

  • Competent in the following Knowledge, Skills, and Abilities:

    • Customer Service

    • Math

    • Clerical Work

    • Reading, Writing, and Oral Expression

    • Active Listening

    • Critical Thinking

    • Social Perceptiveness

    • Coordination

    • Time Management

    • Deductive and Inductive Reasoning

    • Empathy

    • Selective Attention

    • Time Sharing

    • Memorization



Preferred Qualifications

  • Bachelor’s Degree in Business, Finance, or related field

  • SIE, Series 7, & 66 licensed

  • Experience with RBC and AOS



Compensation and Benefits

  • Salary commensurate with experience

  • Total Rewards Benefits Package:

    • Medical, Dental & Vision

    • Short Term Disability, Long Term Disability, Life Insurance, and optional Supplemental Life insurance for employee, spouse, and dependents

    • 401k plans with yearly match