Client Associate/Registered 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 financial advisor business operations
Domain
Wealth Management / Financial Services
Deliverable
client delivery
Required skills
Account management, Trade processing, Compliance documentation, Data entry, Client service, Regulatory licensing (Series 7/66)
Preferred skills
Financial services experience, FINRA registrations
Technologies
Desktop tools, Word processing software
Responsibilities
Build and maintain professional relationships with clients, Handle account inquiries and customer needs, Adhere to compliance standards by obtaining and maintaining account documentation, Facilitate the transfer of funds and securities, Process checks, wires and ACHs