Financial Associate

Duluth, Minnesota
Finance & Economics (Business and Financial Operations Occupations)
Job Type
Working Hours
8:00 AM - 5:00 PM
US$ 16.00 - US$ 18.00 per hour
Ref. Number
Tracy Mandelin, Spherion
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Job Description

The Registered Financial Associate enhances the client experience by providing exceptional client service, supporting office functions as needed, assisting in safeguarding client assets, and serving as administrative and operational support to Financial Advisor. The Registered Associate is responsible for understanding firm policies, procedures and digital capabilities that will allow them to interact with Financial Advisor as well as new and existing clients in order to perform daily business activities. The Registered Associate prefferably has an active Series 7 License as well as a minimum of 1 year of prior experience with a broker dealer.

Aid the Financial Advisor by building and maintaining client relationships and assisting with ongoing financial planning.

Facilitate accurate and timely account set up, money movement and investment trades. Maintain existing client relationships through the processing of client requests, resolving client inquiries, and making sure key client information and documentation is up to date Conduct outreach to maintain healthy relationships with client base and identify Firm services and solutions, such as digital, online access and cash management offerings, that support clients??? needs. Onboard new client accounts, which includes the collection of required documentation and client information.

Prepare financial performance measurements for clients which involves computing account performance and analyzing investment portfolio holdings.

Understand and synthesize client data in order to develop customized financial plans using firm???s planning software, prepare financial reports, spreadsheets, and other materials for client meetings, input orders on behalf of Financial Advisor. Perform administrative duties that support Financial Advisors in daily business practices.

Assist Financial Advisors in ensuring the team reaches its monthly/annual financial goal.

May participate in client account review meetings and/or face to face client service meetings.

Working hours: 8:00 AM - 5:00 PM


Series 7 License (Preferred)

High School

1-4 years

One year of related experience preferred

Four-year college degree preferred

Active series 7 preffered

Additional Compensation:


Health Insurance
Retirement Plan

If this position interets you, please apply online today!

Spherion has helped thousands of people just like you find work happiness! Our experienced staff will listen carefully to your employment needs and then work diligently to match your skills and qualifications to the right job and company. Whether you're looking for temporary, temp-to-perm or direct hire opportunities, no one works harder for you than Spherion. EEO Employer: Race, Religion, Color, National Origin, Citizenship, Sex, Sexual Orientation, Gender Identity, Age, Disability, Ancestry, Veteran Status, Genetic Information, Service in the Uniformed Services or any other classification protected by law.

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