"Alerted.org

Job Description Summary

Families don’t have to be people who live together or are related to one another. They are people who are there for each other, helping to plan together and looking forward to sharing in each other’s achievements in the future.

At ZK Financial Group, we are seeking a personable and detail-oriented Wealth Management Client Associate to join our “family” and provide support for our practice. The ideal candidate loves people, loves the financial industry, and must love dogs! (Yes, we said dogs. Our office is dog friendly.)

Job Description

Essential Duties and Responsibilities

+ Service daily client inquiries over the phone and in-person, including scheduling meetings, greeting clients, and providing stock quotes

+ Work both independently and within a dynamic team environment to provide administrative support to the financial advisors and branch office

+ Open new client accounts, process money movement, and research information as needed

+ Ensure client paperwork and documentation is accurate and current with firm and industry regulations prior to submission and processing. Follow up to ensure accurate completion

+ Prepare letters, forms, and reports to assist with servicing existing clients and prospecting for new clients

+ Prepare various business summary reports and client-specific reporting as needed for review by the financial advisor and participate in client meetings as needed.

+ Create and maintain records and files utilizing Client Relationship Management (CRM) software

+ Actively engage in available training/cross-training and educational and/or professional development opportunities to remain current on industry policies and procedures

+ Performs other duties and responsibilities as assigned

+ Adhere to internal compliance policies, regulations, and securities laws and participate in branch audits.

+ Develop comprehensive understanding of client goals, risk tolerance, and personal circumstances.

+ Research client & securities information through back-office system and proactively reach out to home office personnel for assistance as needed.

+ Process client documentation for proper opening and maintenance of accounts.

+ Receive securities & funds and ensure they are in good order.

+ Disburse checks to clients and maintain files related to cashiering according to compliance regulations.

+ Maintain current knowledge of market activities and product offerings.

+ Proactively share feedback and ideas with sales team to measure client expectations.

Knowledge, Skills, and Abilities

Knowledge of

+ Company’s working structure, policies, mission, and strategies

+ General office practices, procedures, and methods

+ Basic investment concepts, practices and procedures used in the securities industry

+ Financial markets, products and industry regulations

Skill in

+ Client Relationship Management (CRM) software

+ Microsoft Office (Word, Excel, Outlook)

+ Effective communication (in-person, virtual, phone and mail)

Ability to

+ Operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases

+ Analyze and research account information

+ Organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced, task-oriented work environment

+ Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns

+ Handle stressful situations and provide a high level of customer service in a calm and professional manner

+ Analyze problems and establish solutions in a fast-paced environment

+ Use appropriate interpersonal styles and communicate effectively

+ Work both independently and as part of a team

+ Provide a high level of customer service

+ Demonstrate flexibility, adaptability, and professional courtesy at all times.

+ Exercise excellent memory skills and recall details of client interactions.

+ Learn new skills willingly and ability to retain that knowledge

Education/Previous Experience

+ Associate's degree and two (2) or more years securities industry or related work experience preferred, or an equivalent combination of experience, education, and/or training.

Licenses/Certifications

+ SIE required provided that an exemption or grandfathering cannot be applied.

+ Series 7 required.

+ Series 63, 65 and/or 66 as required by state.

_Zuehlke Karcz Financial Group and its employees are_ **_independent contractors with respect to Raymond James_** _; not employees of Raymond James. The term “Raymond James” includes, but is not limited to Raymond James Financial Services, Inc. (“RJFS”) and Raymond James Financial Services Advisors. Inc. (“RJFSA”) as affiliates._

Education

Associate's (Required)

Work Experience

General Experience - 13 months to 3 years

Certifications

Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)

Travel

Less than 25%

Workstyle

Resident

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.

We expect our associates at all levels to:

• Grow professionally and inspire others to do the same

• Work with and through others to achieve desired outcomes

• Make prompt, pragmatic choices and act with the client in mind

• Take ownership and hold themselves and others accountable for delivering results that matter

• Contribute to the continuous evolution of the firm

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

\#LI-LS1