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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._