DUTIES AND RESPONSIBILITIES:
The Client Services Associates (CSA) participates in financial advisor
training on a full-time basis, supervised by an LPL Financial Advisor. Qualified candidates will enter a development
and apprenticeship period offering a structured and supportive program designed
to reward individual and team contribution while meeting personal, professional
and organizational customer service and financial goals. The CSA will be
trained and supported with the tools, resources, and coaching required to serve
as an apprentice to a Financial Advisor, while providing clients with financial
advice consistent with client goals and risk tolerance upon required licensing.
The CSA will gain more responsibility as experience increases and will
transition from client service to relationship management and ownership.
The CSA will be tasked to meet with clients in person, in or out of the
office, along with an LPL Financial Advisor.
Ø Conduct in-depth review of client financial information, assess risk
tolerance and investment profile, and evaluate client financial needs while
providing enhanced service to deepen the relationship.
Ø Cross refer QNB Bank products and services.
Ø The CSA will work to retain and increase existing client accounts (through
developing financial plans and other needs-based solutions) and cultivate new
clients upon required licensing.
Ø Registration for FINRA Series 7 and Series 66 (or 63 & 65) or FINRA
recognized equivalents must be obtained within a reasonable time (i.e.: 3 – 6 months) in order to remain in this
Ø Obtaining and/or maintaining appropriate Financial Industry Regulatory
Authority (FINRA) license(s) is required for ongoing employment in this
position. In addition to state registration, specific product licenses may
Ø Complete administrative tasks and support Sales Assistant as needed.
Ø Ability to work effectively in a team environment and across all
organizational levels; where flexibility, collaboration, and adaptability are
Ø Ability to network and establish relationships with clients and referral
Ø Excellent verbal, written, and interpersonal communication skills
Ø Financial services experience
Ø Client services experience
Ø Complete online training, participate in classroom training, pass
Compliance exams on products and suitability, and complete the activity requirements
of the program.
Ø A BS/BA degree required
Ø Advanced degree preferred