Registered Client Care Srvcs Rep (S6/63) - ADM - Remote
Northwestern MutualSalary not specified
- Full Time
- Entry Level & New Grad
Not SpecifiedCompensation
Junior (1 to 2 years)Experience Level
Full TimeJob Type
UnknownVisa
Financial ServicesIndustries
Requirements
Candidates must possess a Bachelor’s degree preferred, successful completion of the (SIE) Securities Industry Essentials and FINRA General Securities Representative (Series 7) Exam and Uniform Securities State Law Exam (Series 66 [or Series 63 & 65]) is required, and at least two years of previous experience with qualified retirement plans, as a Registered Client Associate or similar role is preferred. Solid technology skills, including Microsoft Word, Excel, PowerPoint, and Outlook, are necessary, with experience using Envestnet/ERS investment reporting software being a plus. Proven ability to manage multiple demands and competing priorities, along with the ability to maintain regular attendance and minimal travel, is also required.
Responsibilities
The Registered Client Associate will deliver high-quality, efficient service to clients by managing assigned retirement plan and wealth management clients, overseeing client projects such as qualified plan recordkeeper RFPs and plan changes, assisting Financial Advisors with retirement plan reviews and investment research, conducting group education presentations, handling meeting follow-ups, and maintaining client CRM records. They will also review meeting materials for accuracy, manage clients and projects with minimal oversight, identify necessary resources, provide exceptional customer service, adhere to all Branch, Firm, and Compliance policies, review and process account documents, assist in developing client communications, and report suspicious activity to the Financial Advisor.
Skills
Microsoft Word
Excel
PowerPoint
Outlook
Envestnet
ERS
Project Management
Client Service
Retirement Plans
Investment Reporting
FINRA Series 7
Series 66
Series 63
Series 65
D.A. Davidson
Provides wealth management and financial advisory services
About D.A. Davidson
D.A. Davidson & Co. provides personalized wealth management and financial advisory services to individuals, families, and businesses primarily in the United States. The firm offers a variety of services, including investment management, financial planning, and trust services, aimed at helping clients align their portfolios with their financial goals. D.A. Davidson employs a research-based approach to tailor solutions for a diverse client base, which includes individual investors and business owners. Unlike many competitors, D.A. Davidson has a long history dating back to 1935 and has grown through strategic acquisitions and organic growth, establishing a reputation as a trusted name in the financial services industry. The company's goal is to deliver personalized financial solutions that meet the unique needs of each client.
Key Metrics
Great Falls, MontanaHeadquarters
2014Year Founded
VENTURE_UNKNOWNCompany Stage
Financial ServicesIndustries
1,001-5,000Employees