Registered Private Client Associate
Be knowledgeable of products and technology and comply with all rules and regulations of the firm, as well as the various regulatory agencies.
Anticipate potential issues and or problems and alert respective FA and/or Branch Management as necessary.
Be knowledgeable of all firm technology necessary to provide quick responses to client and FA inquiries
Assist in helping train other Private Client Associates as needed.
Compose effective client correspondence in accordance with established policies and procedures.
- Process deposits and disbursements and review for appropriateness and accuracy.
- Receive, prioritize and process orders.
- Evaluate margin requirements.
- Process and obtain approvals for legal transfers and stock options.
- Distribute branch mail, faxes, and morning reports.
Interface effectively with home office departments and all branch associates.
Work independently with all home office departments to service the clients’ requests.
Assist FAs and/or Branch management in the ongoing development and maintenance of effective client relationships and their efforts for productivity based campaigns.
Coordinate marketing efforts through the marketing department (e.g., for local advertising).
Provide excellent telephone service to clients and potential clients, including prompt, accurate, and timely attention to detail. Ensure continuous telephone coverage.
Perform other duties as required that contribute to the overall effectiveness of the branch office/FAs
Keep assigned FAs informed of all pertinent information and activity related to client accounts and transactions, including issues related to client suitability.
High School Diploma; Associate’s or Bachelor’s degree preferred
Series 7, 63 and 65, or 66 required.
Series 9/10 preferred but not required
At least 3 years of industry experience
- Excellent customer service skills
- Computer skills in Word, Excel, and Outlook
- Good math skills
- Able to work effectively in a fast paced, deadline oriented environment
- Strong attention to detail
- Able to work effectively as part of a team
- High ethical standards
Work closely with the Branch Operations Manager or Branch Manager to ensure that all operations functions are promptly and accurately performed at the branch. The Registered Private Client Associate may be the primary liaison with home office departments including Operations, Human Resources, Compliance, Training and Private Client Group (PCG) Administration. Demonstrate extreme competence in all major areas of responsibility and operates with a relatively high level of independence.
Provide administrative, client, and marketing support to one or more Financial Advisors (FAs) to enhance and grow their business. Roles and responsibilities may vary dependent upon the FA or team structure.
Janney is dedicated to promoting and supporting diversity within our workplace. We provide an environment that promotes respect, integrity, teamwork, achievement and acceptance regardless of age, disability, education, gender, gender expression, gender identity, job level, marital status, military status, national origin, parental status, pregnancy, race, religion, sexual orientation, socioeconomic status, or other protected factors. Janney is committed to equal employment opportunities and providing reasonable accommodations to applicants with physical and/or mental disabilities.
- Janney Montgomery Scott LLC, 36 South County Commons Way, South Kingstown, Rhode Island, United States of America