Wealth: Registered Client Service Associate

B. Riley Financial • Lake Ronkonkoma, NY

289d • $50,000 - $65,000

About The Position

With offices coast to coast, B. Riley Wealth is a leading private wealth and investment management platform that provides comprehensive, collaborative financial solutions to individuals and families, businesses and institutions, non-profits, trusts, foundations, and endowments. Securities and variable insurance products are offered through B. Riley Wealth Management; fee-based asset management and advisory services are offered through B. Riley Wealth Advisors; insurance products, including fixed annuities (but not variable products) are offered through B. Riley Wealth Insurance Corporation; and tax preparation and accounting services are offered through B. Riley Wealth Tax Services. For more information, visit www.brileywealth.com. B. Riley Wealth is a subsidiary of B. Riley Financial (Nasdaq: RILY), a diversified business advisory and financial services platform. B. Riley refers to B. Riley Financial, Inc. and/or one or more of its subsidiaries or affiliates. We are seeking a full-time Registered Client Service Associate with a minimum of 2 years of industry experience. The base range for this position is $50,000 - $65,000.

Requirements

• Bachelor's degree in Finance or equivalent combination of education and experience highly preferred.
• Securities Industry Essentials (SIE), Series 7 and Series 63 or 66 required.
• Two years of related brokerage industry experience.
• Proficient in MS Word, Excel and Power Point.
• Strong verbal and written communication skills.

Responsibilities

• Act as liaison between Financial Advisors and internal departments (Compliance, Operations, and Administration).
• Responsible for client money transfers, check request, necessary per communication with clients.
• Provide administrative support to Financial Advisors by processing new account applications, obtaining necessary documents, resolving inquiries, and handling account transfers.
• Research and resolve late payments, overdraft items, pending service inquiries, and communicates resolution as appropriate.
• Prepare various types of correspondence using Word, Excel, and other necessary software.
• Interact maturely and effectively with Financial Advisors, clients, and internal contacts.
• Receive incoming calls, handling requests, and directing communication to appropriate parties.
• Provide clients with routine securities information and execute trades as directed by clients and Financial Advisors.
• Perform other duties as assigned.

Benefits

• Competitive salaries
• Access to our 401(k) profit sharing retirement plan
• Paid holidays
• Vacation and sick leave
• Voluntary group medical, dental, and vision insurance
• Company paid life and disability coverage

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities
• Education Level: Bachelor's degree