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Search Results for Registered Client Associate
- Registered Client Service Associate
- UBS Financial Services Inc. - Vermont
- Administrative / Clerical
- Job Summary and Mission: The Registered Client Service Associate supports the business operations of a team of Financial Advisors. This position is not limited to handling and/or addressing all the client's operational and administrative needs. Job Responsibilities: * Provide service to UBS clients by responding to clients requests and addressing inquiries to different areas as appropriate * Provide administrative support to designated financial advisor(s) * Process and follow up operational duties linked to new accounts, risk management, funds cashiering, and order entry, among other * Work (see more)
- Suitability Review Associate
- National Life Group - Vermont
- Accounting / Finance
- Summary The individual in this position will be responsible for preliminary review of client suitability on incoming new business, and for assisting with the firms trade blotter and mutual fund breakpoint analysis. Key Responsibilities The incumbent will monitor trading and account activity as detailed in the firms written supervisory procedures to support the firm with executing those procedures to comply with regulatory rules and mandates. This position is responsible for providing superior service to the Registered Representatives of Equity Services, Inc. (ESI) and their clients. The (see more)
- Suitability Review Associate
- National Life Group - Northern, Vermont
- Insurance
- Requisition Number 12-0064Title Suitability Review AssociateCompany National Life Insurance CompanyCity MontpelierState VTTravel Required NoDescription SummaryThe individual in this position will be responsible for preliminary review of client suitability on incoming new business, and for assisting with the firm's trade blotter and mutual fund breakpoint analysis.Key Responsibilities* The incumbent will monitor trading and account activity as detailed in the firm's written supervisory procedures to support the firm with executing those procedures to comply with regulatory (see more)
- Securities Operations Representative
- National Life Group - Vermont
- Accounting / Finance
- Summary This position is responsible for servicing registered representatives, branch office supervisors, field staff, clients and internal staff. Calls frequently involve researching discrepancies, performing in depth research and problem solving. Key Responsibilities Effectively and efficiently handle high call volume regarding brokerage accounts, managed accounts and account maintenance items Respond to questions from clients, registered representatives, and home office associates Research and resolve problems with maintenance requests, trades and commissions Open accounts, handle (see more)
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