Job description

B. Riley Financial provides collaborative solutions tailored to fit the capital raising and business advisory needs of its clients and partners. B. Riley operates through several subsidiaries that offer a diverse range of complementary end-to-end capabilities spanning investment banking and institutional brokerage, private wealth and investment management, financial consulting, corporate restructuring, operations management, risk and compliance, due diligence, forensic accounting, litigation support, appraisal and valuation, auction and liquidation services. B. Riley Financial is headquartered in Los Angeles with offices across the U.S. as well as an international presence.
B. Riley Wealth Management provides comprehensive, collaborative financial solutions to individuals and families, businesses and institutions, non-profits, trusts, foundations and endowments. B. Riley’s experienced financial advisors leverage the diverse resources and expertise of its affiliated companies to help clients create a sound financial strategy based on their financial goals.
We are seeking a full-time Registered Client Service Associate with a minimum 3 - 5 years of industry experience.
The successful candidate will demonstrate the ability to work independently to organize, prioritize, and complete tasks, provide administrative and sales support to BRWM Financial Advisors through clerical and account-related duties including the flow of correspondence, and communicate daily with clients providing routine securities information and executing trades as directed by clients and BRWM Financial Advisors.
Duties of this position include, but are not limited to the following:

• Interacts maturely and effectively as liaison between Financial Advisors, clients and internal departments (Compliance, Operations, and Administration).
• Responsible for client money transfers and check request, necessary per communication with clients.
• Prepares letters, forms and spreadsheets to assist with servicing existing clients and prospecting for new clients using Word, Excel and other necessary software.
• Ensures required client paperwork is within firm standards and meets regulatory requirements.
• 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.
• Receives incoming calls, handling requests, and directing communication to appropriate parties.
• Assists with operational functions as required.
• Perform 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), Series 7 and Series 66 or 63/65 required.
• Three to five years of related brokerage industry experience.
• Proficient in MS Word, Excel and Power Point.
• Attention to detail and multi-tasking skills required.
• Strong verbal and written communication skills.

B. Riley Financial, Inc. 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.

Experience
Required

• 3 - 5 years: Three to five years of related brokerage industry experience.

Education
Required

• Bachelors or better in Finance or related field

Licenses & Certifications
Required

• Series 66 License
• Series 7 License - GS
• Sec Industry Essentials

Skills
Required

• Customer Service
• Communication

Behaviors
Required

• Team Player: Works well as a member of a group

Motivations
Required

• Self-Starter: Inspired to perform without outside help

Job Type: Full-time

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