Investment Associate, FINRA Registered
Core
Support Private Client Advisors in sales, customer service, and account operations for retail clients.
Role type
Investment Associate (Retail)
Builds
Client accounts, marketing materials, and sales support activities
Domain
Financial Services / Retail Investment
Deliverable
client delivery
Required skills
FINRA S6, S63, SIE licenses; knowledge of retirement accounts and RMDs; order entry; client database management; trade instruction acceptance
Preferred skills
FINRA Series 7; Life Insurance license
Technologies
Microsoft Word, Excel, PowerPoint, email platforms
Responsibilities
Obtain new account forms and establish accounts; process estate account requests; perform heavy order entry; coordinate marketing events and seminars; create and distribute newsletters and promotional letters; assist in scheduling appointments and sales meetings
Seniority
Entry-level to Junior