Licensed Client Service Associate - CITY OF INDUSTRY
Core
Deliver wealth management services to clients while ensuring compliance with laws, rules, and regulations, and safeguarding the firm's reputation.
Role type
Licensed Client Service Associate (Wealth Management)
Builds
Wealth management services for private clients
Domain
Financial Services / Wealth Management
Deliverable
client delivery
Required skills
risk assessment, data analysis, problem solving, client-facing experience, knowledge of investments/banking/credit products, regulatory compliance
Preferred skills
Series 7/63/66 license (or obtain within 150 days), sales referral experience
Technologies
data analysis tools
Responsibilities
Deliver wealth management services to clients with guidance from Banker teams; Assess risk when business decisions are made to ensure compliance and safeguard assets.
Seniority
Mid-level (2-5 years experience)
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