Broker Check
<strong>Client Associate (CA)&#160;</strong>

Client Associate (CA) 

             
Location: Multiple Locations / opportunity for hybrid work from home ability
Reports to: Managing Partner or Sr. Client Relationship Manager

PURPOSE

  • Provides administrative and operational support to one or more Financial Advisors (FA) to work collaboratively towards team objectives.  Such responsibilities include servicing clients, researching problems, processing account forms and related paperwork, maintaining appropriate account records, and preparing client correspondence. 



  • Can perform at a basic or fundamental level in all areas of accountability and function effectively in a fast-paced, professional environment.
  • Goals to reflect and align with the overall business plan of the FA(s) this person supports.
  • Can perform at a basic or fundamental level in all areas of accountability and function effectively in a fast-paced, professional environment.
  • Goals to reflect and align with the overall business plan of the FA(s) this person supports.


PRINCIPAL RESPONSIBILITIES
Client Service: approximate time – 50%

  • Service clients in a pleasant, professional manner. Answer routine questions about their accounts within the established scope of the position's responsibility. Provide information such as account balances and other account-related information.
  • Build and maintain a professional rapport with clients.
  • Keep FA(s) informed of all important information and activities related to their clients’ accounts and transactions.

 Processing/Execution: approximate time – 45%

  • Stay up to date on changing operational procedures and best practices.
  • Ensure that all appropriate account documentation is obtained and maintained.
  • Inform clients about missing paperwork and securities or funds due in accordance with firm and compliance policies.
  • Adhere to all compliance policies and procedures and complete required internal and external continuing education activities.
  • Note potential problems and alert respective FA(s), branch and/or complex management as necessary.
  • Maintain a high level of confidentiality in accordance with LPL Financials’ Code of Conduct.
  • Leverage the firm's technology and systems as it applies to client service and business enhancement.
  • Support firm initiatives, at the direction of the FA/team and Firm Leadership, to best serve clients and help them achieve their financial goals.
  • Coordinate and ensure timely correspondence of client information (e.g., reports, research, etc.).
  • Assist in marketing efforts at the direction of the FA(s) to compose communications as requested in accordance with established policies and procedures.

 Firm/Office Engagement: approximate time – 5%

  • Further firm initiatives by adapting, learning, and implementing new technology and processes.
  • Participate in client engagement events and relationship deepening

 Other Duties as Assigned:

  • Perform other duties as assigned that contribute to the overall effectiveness of the position, further the goals of the FA/team and support the branch overall.

JOB SPECIFICATIONS AND QUALIFICATIONS
Basic Qualifications:

  • Minimum 1 – 2 years general office experience
  • Associate degree or bachelor’s degree or equivalent experience
  • Basic computer skills (including Microsoft Office, Redtail, and WebEx)
  • Basic understanding of the stock market, investments, and retirement plans
  • Authorized to work in the U.S. without requiring visa sponsorship.

 Other Required Qualifications:

  • Good interpersonal verbal and written communication skills
  • Detail orientated, strong math and organizational skills.
  • Able to manage multiple demands and competing priorities.
  • Able to work effectively in a fast-paced, deadline-oriented environment.
  • Strong customer service skills

 Suggested Qualifications:

  • Prior industry experience
  • Experience with contact management software, preferred knowledge of Redtail

 KEY RELATIONSHIPS

  • Works with internal partners in the branch, complex and firm-wide to contribute to the overall effectiveness of this position supporting FA productivity.
  • External relationships interacting and servicing the public and clients to build rapport.

 WORKING CONDITIONS

  • A fast-paced and agile working environment which may require quick turnaround and solid decision-making (critical/analytical thinking)
  • Up to 8 hours daily use of keyboard/office equipment, lifting <25 lbs occasionally.
  • A confidential, secured working environment.