Career Opportunities




Senior Registered Associate

Date of Posting

March 5, 2013


Seattle - Individual Investor, WA

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Job Summary:

This position will provide administrative and operational support to an experienced Financial Consultant in the Seattle office. The person filling this position must provide professional, courteous customer service to ensure client satisfaction at all times. The regular work hours for this position will be Monday through Friday, 7:00 AM to 3:30 PM, but additional time may be required or needed in order to complete tasks or service client needs.


(Including specific Education and License requirements)

  • Minimum of 5 years’ experience in the securities industry required

  • Successful completion of the FINRA General Securities Representative (Series 7) Exam and Uniform Securities State Law Exam (Series 63) or Uniform Combined State Law Exam (Series 66) which ever is applicable.

  • Seasoned knowledge of the securities industry, its operations and it products to include stocks, bonds, margin accounts, options, various retirement plans (IRA’s, Simple, Roth) mutual funds, annuities, estate procedures, Rule 144 or restricted securities and cashless stock options.

  • Availability to work overtime when needed or requested.

  • Proficiency with Russell Branding, including use of the Discovery Agreement and Road Map, and ability to run proposals on RPB & RPG or willingness to attend training as required to develop proficiency. Availability to attend ongoing training sessions nights and weekends, as needed.

  • Familiar with general Company business policies and procedures, as well as back-office operations and security industry requirements.

  • High School diploma; associate or college degree preferred or comparable work experience as a Registered Associate or FC.

  • Strong computer skills (proficient with Microsoft Word, Excel and Outlook) Ability to work in an automated/computerized environment.

  • Understand and utilize the Firm’s computer systems and related functionality as it applies to client service and business enhancement.

  • Understanding of Managed Assets Products (Russell, MFP, SAM), as well as all other product categories, including managed accounts, complicated retirement accounts and annuities and keep up with various changes to these product categories

  • Basic knowledge of taxes and implications.

  • Solid math aptitude.

  • Strong communications skills, verbal and written. Ability to work with a variety of personalities.

  • Strong inter-personal and customer service skills. Ability to work with clients who at times may be concerned due to market fluctuations and other business professionals, to include lawyers and CPAs.

  • Strong organizational and problem solving skills.

  • Strict attention to detail.

  • Ability to manage multiple demands and competing priorities.

  • Ability to work independently – a self starter.

  • Ability to work in a fast-paced, deadline-oriented environment.

  • Ability to maintain a high level of confidentiality.


  • Facilitate use of Russell Branding with client base, including using Discovery Agreements, Road Maps, and running proposals on RPB & RPG
  • Attend Russell training sessions as requested by FC

  • Assist FC in preparing for client meetings by printing performance and portfolio reports and binding all materials

  • Provide professional, courteous customer service to ensure client satisfaction

  • Function independently in the FC’s absence, servicing all client requests and resolving all issues

  • Work closely with the FC and use initiative to help the FC develop and expand his client base

  • Review all account documentation to ensure its completeness
  • Keep account information current and ensure the required account documents are on file
  • Inform clients of missing paperwork and if securities or funds are due
  • Follow-up until resolved
  • Ensure adherence to branch, Company and Compliance policies and procedures

  • Research complex problems in client accounts at the request of the client or FC
  • Follow through until resolved
  • Notify the FC and/or client of resolution

  • Facilitate the transfer of client funds and/or securities and the issuance of checks upon request

  • Inform FC of all important information and activities related to their client’s accounts and transactions including issues related to client suitability

  • Provide professional telephone support for the assigned FC
  • Develop and maintain a professional rapport with clients
  • Screen phone calls to resolve customer issues before transferring call to FC
  • Return phone calls to clients as directed by FC
  • Call clients to schedule meetings

  • Compose, draft and type letters and memoranda in accordance with established policies and procedures

  • Assist FC in developing and implementing periodic client mailings to enhance the relationship between the FC, the client and the Registered Client Associate

  • Watch for potential problems
  • Alert the FC and /or Branch Manager when necessary

  • Enter orders to include buy/sell stock and bond trades, sell stop orders, option and margin trades and mutual funds

  • Understand and utilize the Firm’s computer systems and related functionality as it applies to client service and business enhancement

  • Achieve and maintain a solid understanding of all product categories to include managed accounts, complicated retirement accounts and annuities

  • Perform any other duties as assigned