Registered Client Associate
Core
Administrative and operational support for financial advisors and clients, including account management, trade processing, and compliance documentation.
Role type
Client service 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 documentation management, trade processing, fund transfers, client communication, compliance adherence
Preferred skills
FINRA registrations, financial services experience
Technologies
Desktop tools, word processing software
Responsibilities
Answer account questions and handle inquiries, process checks/wires/ACHs and complete trades, maintain account records and obtain documentation, facilitate fund transfers and securities transfers, prepare correspondence
Seniority
Individual contributor