Careers
Only passionate people apply.Client One is a leader in the hybrid, small broker-dealer market. Our reputation and distinctive advisors have consistently grown. We’re perpetually growing our offerings and services to help our advisors reach their potential.
If you’re looking for an exciting career opportunity and to become a valuable employee in our brokerage office, look no further.
OPPORTUNITIES
Client Relations/Onboarding Specialist
Position Summary
The Client Relations Specialist provides training and ongoing support services to the registered representatives of Client One Securities. Responsibilities include facilitating new registered representatives in all phases of transitioning their securities clients to the organization. In addition to assisting with transitions, the Client Relations Specialist provides support with all back office functions.
Duties and Responsibilities include, but not limited to:
- Creating new client accounts, forwarding checks and securities to the appropriate vendors.
- Research customer accounts including account errors, name and address verification, dividend payment modes, status of securities, etc.
- Facilitate training for new registered reps and their support staff on Client One’s cloud platform
- Day to day online customer service to registered representatives (including password res-set, training, etc.)
- Follow-up on outstanding items with registered representatives
- Scan/index departmental information
- Daily interaction with registered representatives, vendors, teammates and customers to provide customer service
Critical Skills Sought
- Applies critical thinking, problem solving skills, and evaluates the level of sensitivity, risk and confidentiality of the work being performed in order to see it through to a resolution
- Displays a positive attitude and has excellent interpersonal skills
- Displays patience and empathy both verbally and in writing when communicating with customers
- Effectively communicates with cross functional team members within the department and across the organization both verbally and in writing
- Effectively uses and applies knowledge of securities operations, business processes and systems
- Manages work load of self to meet project deadlines and deliverables
- Must be team oriented, enjoy working with people, and be pro-active, flexible, and have the ability to work independently and accurately in a fast paced environment
- Prioritizes work and adheres to established turnaround times and deadline
- Proficient in various computer applications, including Microsoft Office Suite
- Strong general administrative and telephone skills
Background/Experience
- Series 7 license preferred.
- Life and variable insurance license preferred
- Must be able to pass a CRD and background check as well as a credit check
- 3+ years experience in the securities industry
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This description covers the major purpose and major functions of the job. It is not intended to give all details or a step by step account of the way each task is to be performed. Employees may receive other job related instructions and be required to perform other job related duties requested by their supervisor. All requirements are subject to possible modification to provide reasonable accommodation to qualified individuals with disabilities.
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Operations Principal
Position Summary
The Operations Principal will provide supervisory support of the Client One Operations Center. This series 24 principal will conduct oversight of all introducing Broker/Dealer activities.
Duties and responsibilities include, but are not limited to:
- Supervisory responsibilities of assigned reps offices activities.
- Supervisory oversight of mutual fund direct business.
- Supervisory oversight of variable annuity business.
- Conduct field branch audits.
- Supervisory oversight of new accounts.
- Supervisory oversight of trade blotters on a daily basis.
- Supervise operations staff and sales assistants.
- Monitor/Review Netx360 work basket, operations e-mails and fax e-mails.
- Process work items as needed in a backup situation.
- Responsible for monitoring of e-mail.
- Back up for trading and block trading on Pershing platform.
Critical Skills Sought:
- Research and resolve problems in client accounts.
- Strong general administrative and telephone skills.
- Team oriented, enjoy working with people, pro-active and flexible.
- Must be a self-starter and highly motivated with the ability to work independently and accurately in a fast paced environment.
Qualifications
- Series 7, 63, 65/66 and 24 required
- Pershing Netx360 experience preferred.
- CASEAR commission system experience a plus
- Charles Schwab Institutional experience preferred.
- Must be able to pass a CRD, background and credit check.
- Proficient in various computer applications, including Microsoft Office Suite.
- 3 plus years in securities industry preferred.
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This description covers the major purpose and major functions of the job. It is not intended to give all details or a step by step account of the way each task is to be performed. Employees may receive other job related instructions and be required to perform other job related duties requested by their supervisor. All requirements are subject to possible modification to provide reasonable accommodation to qualified individuals with disabilities.
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Application Form
To apply for a job, fill out the form below and attach any relevant files.
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