Client Associate
Core
Administrative and operational support for financial advisors and clients, including account management, trade processing, and compliance documentation.
Role type
Client Associate (Registered Client Associate)
Builds
Client accounts and advisor business operations
Domain
Wealth Management / Financial Services
Required skills
Account administration, Trade processing, Compliance documentation, Client relationship management, Financial research, Correspondence preparation, Fund transfer execution, Check/wire/ACH processing, Series 7 and 66 (or 63/65) licensing, Bachelor's degree or equivalent experience
Preferred skills
FINRA registrations, Financial services experience
Technologies
N/A
Responsibilities
Build and maintain professional relationships with clients by assisting them and answering account questions; Take initiative to handle account inquiries and customer needs and escalate to financial advisors when appropriate; Adhere to compliance standards by obtaining and maintaining appropriate account documentation and communicate with clients about items needed; Facilitate the transfer of funds and securities, complete trades in client accounts, and process checks, wires and ACH's in a timely manner; Maintain confidentiality in accordance with RBC's Code of Conduct.