SENIOR REGISTERED CLIENT SERVICE ASSOCIATE

POSITION SUMMARY:

The Registered Client Service Associate will help provide an exceptional customer experience for high-net-worth Wealth Management clients while simultaneously supporting efforts to grow an already substantial portfolio. Works closely with the Financial Advisor/Advisors by preparing reports, handling trades, scheduling client meetings, opening and processing new accounts, data entry, handling all client service requests, fielding client phone calls and questions, and completing other projects and duties as assigned.

ESSENTIAL DUTIES AND RESPONSIBILITIES:

• Work with advisor to assist in preparing paperwork and documents for client meetings.
• Manage CRM system for advisors and clients including meeting notes, account maintenance, client management and accuracy of reports.
• Research and respond to client inquires, changes and account maintenance.
• Process and submit paperwork, checks, and securities in a timely manner, following to completion.
• Assist clients and advisor with trades, transactions on accounts.
• Attend department meetings and stay current on knowledge of Wealth Management policies, procedures, products, etc. in ever changing regulatory environment.
• Maintain internal client file integrity.
• Uphold Nicolet’s philosophy and policies by maintaining appropriate controls to ensure full compliance with applicable laws and regulations, thereby fulfilling legal responsibilities and enhancing the quality of Nicolet.
• Ability to understand the value of diversity within the workplace and to work successfully with others without regard to age, gender, race, sexual orientation, ethnicity, culture, religion, disability status, socioeconomic status or other non-job-related classification. A commitment to Nicolet’s policies on equal employment opportunities and non-discrimination with a willingness to pursue efforts of inclusion and respect toward different perspectives.
• Performs all other duties as assigned.

SUPERVISORY RESPONSIBILITES:

N/A

KNOWLEDGE, SKILLS AND ABILITIES:

• Strong industry and product knowledge.
• Strong verbal and written communication skills and strong interpersonal skills.
• Ability to maintain strict confidentiality.
• Ability to effectively promote Nicolet as an employer of choice.
• Basic knowledge of banking positions.
• Strong organizational, multi-tasking and prioritizing skills.
• Self-motivated and resourceful.

EDUCATION AND EXPERIENCE:

• Associates degree in administrative professional or similar program. Bachelor’s degree preferred.
• Series 7 and 66 designations required.
• At least 5 years of industry experience required.

PHYSICAL DEMANDS:

In compliance with the ADA, performance of this job requires certain physical demands. These demands are as follows but not limited to the ability to sit, stand and walk often throughout the day, constantly be able to operate with their hands and arms, occasionally ascend/descend flights of stairs, position themselves frequently throughout the day, communicate with other employees, able to examine their work and regularly lift and/or move up to 10 pounds while occasionally lift and/or move up to 25 pounds. These physical demands must be met by an employee to be successful and perform at full potential, but reasonable accommodations may be made to enable individuals with disabilities to perform the essential job functions.