Job Details

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Title: Client Associate
Code: 1494061801
Type: Client Associate
Status: Full Time
Location: Fresno - Fresno
Description:

POSITION SUMMARY

 

The Associate II role is to support financial advisors and the Non-Deposit Investment Products (NDIP) team with back office processing and operations.   Responsible for administrative office functions, sales support to the financial advisors and functions related to new business.  Associate will initiates outbound phone calls scheduling appointments for advisors, assist supervisor with office functions relating to marketing and compliance, responds to client service requests and maintains outstanding client service standards.  The Associate II must be able to work effectively with other team members, clients and advisors.

 

MAJOR RESPONSIBILITIES

 

  • Handle incoming calls
  • Supports NDIP team on operational and client related issues
  • Initiates, processes and responds to client service requests
  • Initiates outbound calls to clients (schedules appointments including client reviews, confirms appointments, respond to clients an communicates with clients on issues)
  • Completes client meeting preparation, calendar and required client reports
  • Processes new business and completes new business related functions
  • Completes daily, weekly and monthly operational and technical tasks
  • Places trades for Financial Advisor’s (FA) when requested
  • Supports FA’s and responds to FA requests
  • Clears compliance required maintenance
  • Performs other work-related duties assigned by supervisor, senior management or financial advisors in the field
  • Maintains all information relating to customer accounts and bank affairs in strict confidence
  • Acts in accordance with all compliance rules and regulations as set forth by Financial Industry Regulatory Authority (FINRA) and Raymond James Financial Services (RJFS).  This includes all required continuing education requirements to satisfy annual requirements and full disclosure of any activities or events that would require a Form U-4 amendment.
  • Acts in accordance with all appropriate and applicable bank rules and regulations as set forth by various regulatory agencies.

 

OTHER RESPONSIBILITIES

 

  • Maintains a current understanding of FDIC banking regulations for NDIP, and Bank procedures and policies.
  • Utilizes and fully completes appropriate checklists
  • Becomes cross trained in all department functions

 

TriCo Bancshares and Tri Counties Bank are headquartered in Chico, California. From a single bank on a tree-lined street in Chico 38 years ago, Tri Counties Bank has grown to 61 branches serving communities from Bakersfield to the Oregon border, from the Sierra Nevada to the wild north coast, with assets over $2.5 billion.

 

Tri Counties Bank offers financial services and provides a diversified line of products and services to consumers and businesses, which include demand, savings and time deposits, consumer finance, online banking, mortgage lending, and commercial banking throughout its market area. It operates a network of 67 ATMs and provides a 24-hour, seven days automated Customer Service Department. Brokerage services are provided at the Bank’s office by the Bank’s association with Raymond James Financial, Inc.

 

How has Tri Counties remained strong and profitable? A top-down commitment to responsible lending and sound business practices. Plus a dedication to service, convenience, and technology, including online and mobile banking, supermarket branches open seven days a week, and a 24-hour automated Customer Service Department.

 

But we know that our success is really based on our presence in the towns and cities we serve. We’ve always treated customers the way we want to be treated. Which makes sense, because we live here too. You may recognize us at baseball games and local eateries, skiing in the mountains, boating on the lakes, and fishing the local streams. The personal touch comes naturally to us.

 

Tri Counties Bank is an equal opportunity employer of women, minorities, protected veterans, and individuals with disabilities.

Prerequisites:

EDUCATION, EXPERIENCE AND OTHER SKILLS REQUIRED

 

  • High school diploma or GED required
  • One year previous office, financial, management and/or securities experience
  • Detailed oriented with excellent analytical skills
  • Excellent verbal and written communication skills
  • Excellent organizational & time management skills
  • Excellent attitude & an extraordinary client service orientation
  • Ability to handle multiple tasks & operate on tight deadlines
  • Self motivated, self reliant with a business appearance and demeanor
  • Ability to perform repetitive functions
  • Knowledge of or licensed with NASD Series 6, 7, 63 a plus.  If licensed, than becomes Registered Client Associate II.
Benefits:

Medical, dental and vision, Prescription Drug, Group Term Life/AD&D, Dependent Life and Supplemental Life Plans, Flex 125 Plans, Long Term Disability, Employee Assistance Plan, 401k Retirement Plan, Employee Stock Ownership Plan, Time Off Plans