Registered Client Service Associate

Req #
Administrative Support
(HTS) Houston, TX - Houston Riverway
Company Name

Job Summary

Hilltop Securities Inc., a member of the FINRA and SIPC, is a wholly owned subsidiary of Hilltop Holdings. Hilltop Securities Independent Network (HTIN) is a brokerage firm, which provides a home for independent representatives. We offer and support a broad range of customer services, including self directed IRA accounts, research recommendations, and trust and money management services. The Registered Client Service Associate will work for several financial advisors.  This position will assist in servicing a large client base that is continually growing.

Essential Functions

  • Communicate with clients on a daily basis regarding stock quotes, buy vs. sales scenarios, and other related matters.
  • Maintain customer account information including updating files and records and handling written correspondence.
  • Provide administrative support to assigned Registered Representative(s) including, calendar management, travel arrangements, client and prospect presentations.
  • Work with back office systems including CSS to enter trades and other account information.
  • Address all client service problems and maintain Problem/Solution Log to keep Registered Representative(s) aware of service problems underway and to what level managed to client’s satisfaction.
  • Act as gatekeeper for Registered Representative during prime market time.
  • Assist with special projects and tasks as assigned.

Job Requirements

  • 1-3 years experience in the brokerage/financial services industry as a Registered Client Service Associate.
  • Series 7 and 63/66 license required.
  • High School Diploma or equivalent.
  • Highly proficient computer skills in Microsoft Office applications required with knowledge of Portfolio Software and data entry.
  • Detail oriented with excellent organization skills and ability to multi-task.
  • Ability to work in a fast-paced and deadline oriented environment.
  • Knowledge of back office CSS a plus.
  • Strong customer service and relationship building skills.
  • Ability to provide complete and concise explanations of products to the extent that incumbent can explain and discuss them with clients.
  • Basic understanding of branch level operations, policies and procedures (i.e. regulations and compliance requirements).

About the Company

At HilltopSecurities, we believe in building noble and collaborative relationships that enrich the financial future of individuals, businesses and communities. With an extensive portfolio of products, we deliver a broad range of investment banking and related financial services that help our clients achieve their definition of success. As a subsidiary of HilltopHoldings, which also encompasses PlainsCapital Bank, PrimeLending and National Lloyds corporation, we have the financial strength and stability that has withstood the test of time. Our nationwide presence in 400 locations across 44 states provides our associates with extensive opportunities to grow their careers in a diverse organization that truly values relationship capital above all else.


HilltopSecurities is an equal opportunity employer. Qualified applicants will be considered without regard to race, color, religion, sex, national origin, ancestry, age, pregnancy, physical/mental disability, veteran or military status, predisposing genetic characteristics, sexual orientation, marital status, domestic partner or civil union status, citizenship, or any other basis protected by applicable law.


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