Registered Client Associate
Based in United States
Core
Administrative and operational support for financial advisors and clients, including account management, trade processing, and compliance documentation.
Role type
Client Associate (Wealth Management)
Builds
Client accounts and advisor business operations
Domain
Financial Services / Wealth Management
Deliverable
client delivery
Required skills
Series 7, Series 66 (or 63/65), account administration, trade processing, compliance documentation, client service
Preferred skills
Financial services experience
Technologies
Desktop tools, word processing software
Responsibilities
Build and maintain professional relationships with clients; handle account inquiries and escalate to advisors; obtain and maintain account documentation; facilitate fund transfers and complete trades; process checks, wires, and ACHs.
Seniority
Individual Contributor