Financial Associate (Public) jobs in Wilmington, DE

Job Overview

The Financial Associate is responsible for providing support to assigned Senior Financial Advisors(s). Areas of support provided by the Financial Associate include client service, account maintenance, document preparation, collection of client data, client servicing, and calendar management. This role is responsible for daily operations and must be able to work effectively with other staff members, clients, and Senior Financial Advisors.

Responsibilities

• Process new account applications, financial and maintenance requests (copy, mail, scan, upload to broker dealer platform). Review for completeness and accuracy.
• Mailings - produce reports, create mailing lists, produce letters, mail to clients (includes monthly Review letters, Referral follow-ups, etc.)
• Follow up on outstanding requests (e.g., transfers, withdrawals, death claims) with fund/insurance company.
• Manage lead queue, address leads promptly and provide detailed status updates.
• Create financial reports and tracking of leads.
• Back to Reps (BTR’s) - resolve BTR’s in a timely manner
• Take buy and sell orders from clients and place them with registered B/D for execution (mutual funds, annuities, insurance)
• Work directly with Broker/Dealer, Annuity and Fund Companies when appropriate.
• Schedule appointments for client meetings and maintain accurate records of appointments on financial advisor’s calendar.
• Comply with Citadel’s and broker-dealer’s operation and security and compliance procedures.
• Perform other duties as assigned.

Qualifications and Education Requirements

• High School Diploma.
• Bachelor’s Degree (preferred).
• 5 years of customer service and financial industry experience.
• Series 6 and 63 licenses, or ability to obtain within the first 6 months in role.
• Proficient skills in Microsoft Office products.

Additional Skills/Notes

• Results-driven, business acumen, excellent communication, planning and organizational skills and attention to detail.
• Ability to set priorities and handle multiple tasks in a fast-paced work environment.
• Dependable, responsible contributor committed to excellence and success.