Client Service Administrator, Licensed

Overview

This part-time (15–20 hours per week) remote role provides licensed administrative support to a financial practice. The position serves as a resource to Financial Advisors and client/members by handling, researching, and communicating inquiries related to their accounts, while supporting daily practice operations.

This role must be fully licensed to be considered.

Responsibilities

• Handle incoming telephone calls and respond to requests for information
• Research inquiries regarding client accounts
• Provide fund values and answer securities product-related questions, including variable insurance and annuities when appropriately licensed
• Respond to questions related to investment advisory services
• Perform routine administrative duties
• Prepare or coordinate routine correspondence, reports, and special projects
• Support practice projects, administration of programs, and processing functions as needed
• Schedule client/member meetings on behalf of Financial Advisors
• Update contact management systems with client/member contact and preference information
• Assist Financial Advisors with preparation for and follow-up after client/member meetings
• Collaborate with financial associates to support product changes for clients
• Participate in and help drive marketing services, including direct-mail, fraternal activities, and seminars/meetings
• Conduct verbal or written communications with prospective or existing customers regarding financial matters
• Perform substantive research or information gathering to support securities product recommendations or providing investment advice (e.g., due diligence)
• Obtain customer financial information
• Accept and/or enter securities trade orders from customers, including unsolicited trade orders
• Explain, discuss, or interpret insurance coverage; analyze exposures or contracts
• Indicate when requested coverage is or will be bound or issued
• Issue certificates of insurance, endorsements, binders, commitments, or insurance contracts
• Support questions and transactions with variable insurance and annuities products when appropriately licensed
• Perform additional duties as assigned in accordance with licensure and business needs

Requirements

• Previous administrative/secretarial experience desired
• Must be securities registered:
  • Series 7 & 66 or 7, 63, & 65
• Must be insurance licensed/appointed
• Must be securities registered and insurance licensed/appointed in all states in which performing activities require licensing and registration
• Must be willing to complete the appropriate Long Term Care training required in the states in which support work would be conducted
• If work on variable insurance or annuities is conducted, must be appropriately licensed/appointed and registered for variable products
• Demonstrated customer service orientation/experience (2+ years preferred)
• Strong technical computer aptitude and knowledge of business tools (e.g., Microsoft Word, Excel, PowerPoint) or ability to learn
• Ability to handle multiple tasks and maintain high quality work despite frequent interruptions
• Ability to maintain integrity of sensitive/confidential information
• Basic understanding of products and services

Competencies

• Planning/Organizing
• Customer Focus
• Communication
• Interpersonal Skills
• Teamwork and Collaboration
• Adaptability/Flexibility

External/Internal Dependencies

• Must be able to work with all roles of the practice
• Must be able to represent the organization in work with external clients
• Must be able to cultivate and maintain relationships with outside organizations

Background Check / Regulatory Requirements

• As part of the recruiting/hiring/contracting process, a verification of a candidate’s background will be made to complete the process.
• Fingerprints will be required as part of FINRA registration submission for review against nationwide fingerprint records.
• All persons with securities registrations are subject to an Outside Securities Accounts Policy requiring all outside brokerage accounts to be maintained at one of the firms designated by the policy owner.

Compensation & Benefits

• $25–30/hr dependent upon experience and licensure

Location

• Remote (part-time, 15–20 hours per week)