Client Associate

Summary/Function:

Provide administrative and operational support for an assigned group of Financial Advisors (FAs). The support provided will vary depending on the requirements of the FAs and the branch. The position is required to maintain a high degree of confidentiality with respect to client, FA, branch and company information.

Qualifications:

• Working knowledge of the securities industry, its operations and its products to include stocks, bonds, margin accounts, options, various retirement plans (IRAs, Simple, Roth), mutual funds, and annuities.
• Familiar with general Company business policies and procedures, as well as back-office operations and security industry requirements.

• High School diploma, GED or comparable work experience. Post-Secondary education preferred.
• Prior industry experience a plus.
• Proficient computer skills (working knowledge of Microsoft Word, Excel and Outlook).
• Solid Mathematical aptitude.
• Strong communications skills; verbal and written.
• Good organizational and problem solving skills.
• Attention to detail.
• Ability to manage multiple demands and competing priorities in a deadline-oriented environment.

• Ability to maintain a high level of confidentiality.
• Ability to work in a computerized environment.
• Follow policies and procedures. Maintain client confidentiality.
• Communicate in a clear and service oriented manner. Use appropriate, professional language and grammar to effectively exchange ideas and information.
• Ability to proactively work with both external and internal clients. Relate with others in a professional manner in order to accomplish work responsibilities and objectives.

• Ability to maintain regular, punctual, and predictable attendance.
• Willingness to successfully complete the FINRA General Securities Representative (Series 7) Exam and Uniform Securities State Law Exam (Series 66 [or series 63/65]) when requested.
• Willingness to successfully complete the Financial Paraplanner Qualified Professional (FPQP) designation.
• Upon request obtain a Notary and/or Medallion Signature Guarantee.

Duties:

• Provides professional, courteous, customer service at all times to ensure client satisfaction.
• Ensure adherence to all Branch, Firm and Compliance policies, procedures rules and regulations.
• Informs FAs of all important information and activities related to their client’s accounts and transactions in a timely manner.
• Escalates client or operational issues to BOM or BOOM as necessary.
• Maintains a working knowledge of Branch Guide to Operations and ensures adherence to all Branch, Firm and Compliance policies, procedures, rules and regulations.
• Facilitates the transfer of client funds and/or securities and the issuance of checks at the direction of the FA.
• Reviews and maintains all account documents and information.
• Compose and type letters and memoranda in accordance with established policies and procedures.
• May provide backup for other support positions in the branch.
• Understands and utilizes the Firm’s desktop systems and applications and the related functionality as it applies to client service and business enhancement.

• Perform any other duties and special projects as necessary.
• Provide professional telephone support for the assigned group of FAs.
• Watch for potential problems. Alert the FA and/or Branch Manager when necessary.
• Prepare client meeting materials and assemble proposals.
• Assist group of FAs in developing and implementing periodic client mailings to enhance the relationship between the FA, the client and the Client Associate.

What we offer:

• Competitive salary plus excellent benefits and perks including, but not limited to:

• Company 401(k) and ESOP contribution
• Generous sick, vacation, and maternity/parental leave
• Paid holidays
• Professional Development Opportunities
• Discounted personal insurance including home, auto and recreational vehicles
• Charitable gift-matching program
• Davidson Day of Giving – Our tradition of positively impacting communities in which we live and work.

The compensation offered will be determined on a case-by-case basis considering a variety of factors including, but not limited to, the skills, relevant work experience, and geographic location of each specific candidate. This role is eligible to participate in applicable D.A. Davidson variable compensation programs.

D.A. Davidson has been in business for over 87 years! As an employee-owned company, our success is driven by our high standards of business ethics, integrity and the belief that our Associates are our most important assets. We hope you will consider joining us!

At D.A. Davidson, we are committed to fostering a diverse environment that supports the development and inclusivity of all employees.

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.

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