Registered Client Associate Wilmington NCD.A. Davidson & Co. - Wealth Management Full Time On-site apply for this job
D.A. Davidson Companies is an independent employee-owned company with a rich history spanning more than 80 years. We are dedicated to conducting our business in accordance with the highest standards of integrity and ethics and delivering outstanding service to our clients and each other. We support a friendly open and supportive culture and encourage candid communication and productive engagement that make our companies and each of us better. Just as we work to improve our clients financial well-being, we also work to strengthen local communities-and giving back is one of our core values. You can learn more about our company culture and impact in our latest annual report.
Summary Function We are currently seeking an exceptional individual to join a dynamic and high-producing team in our Wilmington NC office. This team-critical role requires outstanding attention to detail, the ability to balance multiple requests, outstanding client service skills, and a high level of integrity and confidentiality with respect to client FA branch and company information.
Primary Qualifications • 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 • Significant knowledge of the securities industry, its operations, and products to include stocks, bonds, margin accounts, options, mutual funds, annuities, and insurance products. • At least two years of previous experience as a Registered Client Associate. • Post-Secondary education preferred. • Solid technology skills in Microsoft Word, Excel, and Outlook. Experience with Thomson ONE, Envestnet CRM, Money Guide Pro preferred. • Excellent communication, written, and verbal problem-solving and client service skills. • Strong attention to detail and accuracy, including the ability to perform semi-advanced math. • Proven ability to manage multiple demands and competing priorities in a deadline-oriented environment. • Ability to maintain regular predictable attendance and to work overtime as needed.
Primary Duties • Provide exceptionally professional and courteous customer service, supporting client satisfaction, including effectively articulating certain requirements in a regulatory environment. • Adherence to all Branch Firm and Compliance policies, procedures, rules, and regulations. • Review, maintain, and process account documents and information, and inform FA of meaningful information and activities related to client accounts and transactions, including suspicious activity. • Assist FA with comprehensive financial plans for current and prospective clients. • Assist FA in developing and implementing periodic client mailings, communications, and events. • Facilitate the transfer of client funds and/or securities and the issuance of checks upon request. • Enter orders, including buysell, stock, and bond trades, sell stop orders, option, and margin trades, and mutual funds. • Provide administrative support, including but not limited to phone correspondence, appointments, filing, and other projects as assigned by the FA and/or Branch Manager. • Other projects and duties as assigned.
What We Offer Competitive salary plus excellent benefits and perks, including but not limited to: • Medical, dental, and vision • Company 401k and ESOP contribution • Generous sick vacation and maternity/parental leave • Paid holidays • Professional Development Opportunities • Tuition Reimbursement with a $15,000 lifetime cap • Discounted personal insurance, including home, auto, and recreational vehicles • Charitable gift-matching program • Davidson Day of Giving - Our tradition of positively impacting communities in which we live and work.
The compensation offered will be determined on a case-by-case basis, considering a variety of factors, including but not limited to the skills, relevant work experience, and geographic location of each specific candidate.
D.A. Davidson has been in business for 90 years. As an employee-owned company, our success is driven by our high standards of business ethics, integrity, and the belief that our Associates are our most important assets. We hope you will consider joining us.
At D.A. Davidson, we are committed to fostering a diverse environment that supports the development and inclusivity of all employees. We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process to perform essential job functions and to receive other benefits and privileges of employment. Please contact us to request accommodation.
ACKNOWLEDGMENT Please answer all questions carefully. By submitting this application for employment, I certify that all of the above information is true and complete, and I understand that any falsification or omission of information made by me may disqualify me from further consideration for employment. If hired, employment may result in my termination at any time during the period of my employment, regardless of the amount of time that has passed. California applicants, please see D.A. Davidsons California Resident Privacy Policy.