Registered Financial Associate

Registered Financial Associate

Southwestern Investment Group

801 Crescent Centre Drive, Suite 600
Franklin, TN 37067

sarah.esposito@swinvestmentgroup.com
615-861-6100
Website

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ABOUT US:

Recognized as one of the Top Workplaces in 2020, Southwestern Investment Group operates as a family. With more than 40 wealth teams covering five states, our client-focused approach continues to drive our growth across the country. We build our relationships through trust and the heart of a teacher. We partner with clients in pursuit of financial independence and planning for the future. Through our broker-dealer, Raymond James and as one of the family member companies of Southwestern Family of Companies, we have the support of a large company, while offering clients the intimate service of a small firm.

ABOUT THE POSITION:

The Registered Financial Associate has the ability to work independently, using advanced skills gained through training and experience to provide pro-active support to financial advisors and assist with efficient, quality client service. This position follows established procedures to perform routine tasks and receives general guidance and direction to perform other work with substantial variety and complexity requiring limited decision making responsibility. The Registered Financial Associate has extensive contact with internal and external clients to resolve most questions and problems and refers new or unusual issues to a higher level.  This position provides excellent customer service while demonstrating the company values and supporting the mission.

JOB DUTIES AND RESPONSIBILITIES:

  • Interacts daily on the phone and in person with prospective and existing clients including handling basic inquiries and providing quotes
  • Enters and receives orders for the Financial Advisor
  • Processes and follows up on client documentation for proper maintenance of accounts
  • Prepares letters, forms, and spreadsheets to assist with servicing existing clients and prospecting for new clients
  • Creates and maintains records and files
  • Ensures required client paperwork is current with firm and industry requirements, rules and regulations
  • Assists Financial Advisors with marketing efforts for seminars and compliance approval for advertising literature
  • Receives cross-training and assists with other operational functions as required
  • Performs other duties and responsibilities as assigned

REQUIRED QUALIFICATIONS:

  • Associate’s degree; bachelor’s degree strongly preferred
  • 2 years of prior business industry experience as a licensed associate
  • Series 7 registered and/or professional designation such as CFP, ChFC, etc.
  • Experience in related technology, software planning tools and presentations
  • General office practices, procedures, and methods
  • Knowledge of investment concepts, practices, products, financial markets and procedures used in the securities industry
  • MS Excel, Word, Outlook, and Power Point proficiency
  • Professional, service oriented demeanor with pleasant, business-appropriate phone manners
  • Verbal communication skills to communicate ideas and thoughts in a clear, professional manner
  • Effective problem solving skills to resolve routine client questions
  • Ability to follow instructions, including strong adherence to making and meeting deadlines
  • Organizational skills to prioritize and complete work efficiently
  • Detail orientation to ensure the accuracy of reports, correspondence and databases
  • Mathematical skills to gather data involved in preparing reports
  • Analyzing to be able to research account information
  • Ability to organize, manage and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment
  • Demonstrate excellent work ethic
  • Ability to work independently and learn quickly

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