Registered Client Service Associate

1 week ago

Roseville, United States Hilltop Securities Inc. Full time

Hilltop Securities Inc., a member of the FINRA and SIPC, is a wholly owned subsidiary of Hilltop Holdings. We offer and support a broad range of customer services, including self-directed IRA accounts, research recommendations, and trust and money management services.


We are currently looking for a Registered Client Service Associate to support our Roseville, CA branch. The Registered Client Service Associate will work for several financial advisors. This position will assist in servicing a large client base that is continually growing.


RESPONSIBILITIES

  • Communicate with clients daily regarding stock quotes, buy vs. sales scenarios, and other related matters.
  • Maintain customer account information including updating files and records and handling written correspondence.
  • Provide administrative support to assigned Registered Representative(s) including, calendar management, travel arrangements, client and prospect presentations.
  • Work with HTS back-office systems including FIS to enter trades and other account information.
  • Address all client service problems and maintain Problem/Solution Log to keep Registered Representative(s) aware of service problems underway and to what level managed to client’s satisfaction.
  • Act as gatekeeper for Registered Representative during prime market time.
  • Assist with special projects and tasks as assigned.


QUALIFICATIONS

  • 1-3 year's experience in the brokerage/financial services industry as a Registered Client Service Associate.
  • Series 7 and 63/66 license required.
  • High School Diploma or equivalent.
  • Highly proficient computer skills in Microsoft Office applications required with knowledge of Portfolio Software and data entry.
  • Detail oriented with excellent organization skills and ability to multi-task.
  • Ability to work in a fast-paced and deadline-oriented environment.
  • Knowledge of back-office FIS a plus.
  • Strong customer service and relationship building skills.
  • Ability to provide complete and concise explanations of products to the extent that incumbent can explain and discuss them with clients.
  • Basic understanding of branch level operations, policies and procedures (i.e., regulations and compliance requirements).

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