Registered Client Service Associate

With offices coast to coast, B. Riley Wealth is a leading private wealth and investment management platform that provides comprehensive, collaborative financial solutions to individuals and families, businesses and institutions, non-profits, trusts, foundations, and endowments. Securities and variable insurance products are offered through B. Riley Wealth Management; fee-based asset management and advisory services are offered through B. Riley Wealth Advisors; insurance products, including fixed annuities (but not variable products) are offered through B. Riley Wealth Insurance Corporation; and tax preparation and accounting services are offered through B. Riley Wealth Tax Services. For more information, visit www.brileywealth.com.

B. Riley Wealth is a subsidiary of BRCGH (Nasdaq: RILY), a diversified business advisory and financial services platform. BRCGH refers to BRC Group Holdings, Inc. and/or one or more of its subsidiaries or affiliates.

We are currently seeking a full-time Registered Client Service Associate to join our Poughkeepsie, NY office. The Registered Client Service Associate will excel at working independently to organize, prioritize, and complete tasks efficiently. This role involves providing administrative and sales support to BRW Financial Advisors by managing clerical tasks, facilitating account-related processes, and ensuring the smooth flow of correspondence. Additionally, the Registered Client Service Associate will engage with clients daily to provide routine securities information and execute trades as directed by clients and BRW Financial Advisors. The expected hourly rate for this position is $26.44 - $36.06.

Duties of this position include, but are not limited to the following:

• Act as liaison between Financial Advisors and internal departments (Compliance, Operations, and Administration).
• Responsible for client money transfers, check request, necessary per communication with clients.
• Provide administrative support to Financial Advisors by processing new account applications, obtaining necessary documents, resolving inquiries, and handling account transfers.
• Research and resolve late payments, overdraft items, pending service inquiries, and communicates resolution as appropriate.
• Prepare various types of correspondence using Word, Excel, and other necessary software.
• Interact maturely and effectively with Financial Advisors, clients, and internal contacts.
• Receive incoming calls, handling requests, and directing communication to appropriate parties.
• Deliver routine securities information to clients and execute trades in accordance with instructions from clients and Financial Advisors.
• Performs other duties as assigned.

Education, Experience and Skills Required:

• Bachelor's degree in Finance or equivalent combination of education and experience highly preferred.
• Securities Industry Essentials (SIE) and Series 7 and Series 63 or 66 required.
• Two to three years of related brokerage industry experience.
• Proficient in MS Word, Excel and Power Point.
• Strong verbal and written communication skills.

BRCGH employees enjoy competitive salaries, access to our 401(k) profit sharing retirement plan and our other benefits including paid holidays, vacation, and sick leave, voluntary group medical, dental, and vision insurance, and company paid life and disability coverage.