Registered Client Associate -Columbia, SC
Stephens
Registered Client Associate -Columbia, SC
Stephens
Posted about 2 months ago
Full Time
Columbia, South Carolina
In Person
Smart Summary
Responsibilities
The role involves opening and maintaining customer accounts, entering trade orders, and resolving transaction discrepancies. Additionally, the associate provides customer support and performs general administrative duties to support brokers.
Qualifications
You have a Bachelor's degree in Accounting, Marketing, Business Administration, Finance, or a related field, along with 12-18 months of prior industry experience. You are proficient in Microsoft Office Suite and possess strong analytical, critical thinking, and problem-solving skills, with the ability to manage time effectively and meet deadlines.
Must Have Skills for ATS
SIE
Series 7
Series 63
Series 66
Microsoft Office Suite
Job Description
ESSENTIAL DUTIES AND RESPONSIBILITIES
- Open new accounts, obtain required information, verify accuracy, and enter into system. Set up and maintain related files and documentation.
- Take and/or Enter customer orders via Backoffice to exchanges and trading room, at request of broker or customer.
- Check reports and trade confirmations on past transactions to determine accuracy, identify any discrepancies and resolve.
- Respond to customer requests, provide information and resolve problems.
- Perform miscellaneous duties such as type correspondence and documents; answer telephones and take messages; greet visitors; make travel arrangements; make copies; mail printed materials; file; maintain reference books and materials.
- Perform other tasks as assigned by management.
EDUCATION AND/OR EXPERIENCE
- Bachelor's degree in Accounting, Marketing, Business Administration, Finance, or a related field
- 12-18 months of prior industry experience
- Equivalent combination of education and experience.
KNOWLEDGE, SKILLS AND ABILITIES
- Excellent verbal, written and organizational skills
- Attention to detail with emphasis on accuracy and quality
- Self-starter with the ability to manage time effectively, prioritize work to balance multiple projects, and meet deadlines with minimal supervision
- Analytical, critical thinking and problem solving skills with the ability to determine the appropriate action
- Establish and maintain effective working relationships at all levels of the organization
- Proficient in Microsoft Office Suite or similar software, with the ability to learn and utilize industry specific software as required
- Ability to maintain confidentiality
- Experience with Travel and Transport preferred
- Demonstrated reliability in attendance and work performance
- Ability to work overtime as required
CERTIFICATES, LICENSES, REGISTRATIONS
- SIE – Securities Industry Essentials
- Series 7 – General Securities Representative
- Series 63 - State Law Exam or Series 66 – Combined State Law
Stephens
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