Registered Client Associate Job at D.A. Davidson
Overview
You will support a high-producing financial advisor team in Lake Oswego, OR, managing client accounts and processing trades. You will handle Series 7 and Series 66 licensed activities, ensuring regulatory compliance. You will work with Microsoft Office and CRM tools daily. This role demands exceptional attention to detail and confidentiality. You will contribute to a 90-year-old employee-owned firm known for integrity and community impact.
What You'll Do9
- 1Process client account documentation and transactions, including stock, bond, option, and mutual fund trades with Series 7 accuracy.
- 2Facilitate transfers of client funds and securities, and coordinate check issuance requests.
- 3Assist advisors in developing comprehensive financial plans using Money Guide Pro and Envestnet.
- 4Support client communication through mailings, events, and direct service inquiries while adhering to compliance policies.
- 5Monitor accounts for suspicious activity and report findings to the advisor and branch management.
- 6Manage administrative tasks such as scheduling appointments, handling correspondence, and maintaining filing systems.
- 7Enter buy/sell orders for stocks, bonds, options, and margin trades, ensuring execution accuracy.
- 8Collaborate with the advisor to prepare for client meetings and follow-up on action items.
- 9Maintain regular attendance and work overtime as needed to meet client and team demands.
Requirements9
- 12+ years of experience as a Registered Client Associate.
- 2Successful completion of SIE, Series 7, and Series 66 (or 63/65), or ability to obtain licensing.
- 3Knowledge of securities products including stocks, bonds, margin accounts, options, mutual funds, annuities, and insurance.
- 4Proficiency in Microsoft Word, Excel, and Outlook.
- 5Experience with Thomson ONE, Envestnet, CRM, and Money Guide Pro preferred.
- 6Strong written and verbal communication skills.
- 7Attention to detail and accuracy, including semi-advanced math skills.
- 8Ability to manage multiple priorities in a deadline-oriented environment.
- 9Post-secondary education preferred.
Salary Insight
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