Licensed Client Associate

SWBC is seeking a talented individual who assists Financial Advisors and/or Consultants with servicing clients, enhancing production, and placing trades.

Why you’ll love this role: 

You will have the opportunity to work with leading financial advisors and institutions. Your achievements in this role will directly impact the success of the division.

Essential duties include the following:

• Provides telephone customer service to brokerage and investment clients by providing accurate information regarding their investment; answering questions regarding existing accounts; and handling requests such as additional purchases, redemptions, and account changes.
• Places trades as instructed by Financial, Consultants or clients according to the firm’s policies and procedures.
• Solicits existing client base by phone for appointments and additional sales.
• Acts as a backup for Financial Advisors and/or Consultants to accept trades and provide consultation and recommendations to existing clients and potential clients.  
• Oversees account documents, forms, and reports and submits business to operations. 
• Gathers sales and productivity information for representatives and produces reports as directed by department management for activities within the investment program and/or Financial Advisors or Consultants. 
• Travels to branches or other required locations when needed to cover appointments for Financial Advisors and/or Consultants; meets with clients to discuss financial situation; and makes recommendations on investment products as directed by Financial Advisors and/or Consultants. 
• Maintains referral system for accuracy; and provides feedback for referrals and Financial Advisors and/or Consultants as instructed by Financial Advisors and/or Consultants preference to referrers. 
• Performs analysis of financial products and prepares client presentations. 
• Confirms and schedules appointments with referrers.
• Performs other duties as required.

Serious candidates will possess the minimum qualifications:

• Associate’s Degree in Business, Finance, Marketing, or related field or equivalent experience required.
• Bachelor’s Degree in Business, Finance, Marketing, or related field from an accredited four-year college or university preferred.
• Minimum of two (2) years in investment sales, service, trades, consultation support, or related experience.
• Series 7 and Series 63 license, Group I license, current Texas driver’s license, and excellent driving record required.
• Working knowledge of investments, insurance, financial products, financial planning, and use of financial planning tools.
• Excellent communication (verbal and written) and telephone etiquette skills.
• Strong analytical/problem solving skills
• Strong ability to focus on details, demonstrate accuracy, and maintain a high level of confidentiality.
• Proficient in standard Office software such as Word, Excel, Access, and PowerPoint; and ability to work with a variety of finance/investment systems.
• Excellent interpersonal and organizational skills.
• Able to work in a fast paced professional environment with heavy phone-based customer interaction.
• Able to work in a team and support multiple Advisors in multiple locations.
• Able to sit for long periods of time assisting customers on the phone and while executing, updating, and validating computer applications and data.
• Able to stoop, kneel, and lift 10-20 lbs. of files or other documents.
• Able to travel locally.

SWBC offers*:  

• Competitive overall compensation package
• Work/Life balance 
• Employee engagement activities and recognition awards 
• Years of Service awards
• Career enhancement and growth opportunities 
• Leadership Academy and Mentor Program
• Continuing education and career certifications 
• Variety of healthcare coverage options
• Traditional and Roth 401(k) retirement plans 
• Lucrative Wellness Program

*Based upon employee eligibility 

Additional Information:

SWBC is a Substance-Free Workplace and requires pre-employment drug testing.

Please note, SWBC does not hire tobacco users as allowed by law.

To learn more about SWBC, visit our website at www.SWBC.com. If interested, please click the appropriate apply button.