Senior Registered Client Associate
Core
Senior Registered Client Associate delivering exceptional service to clients, advisors, and the branch by managing accounts, resolving complex issues, and implementing technology solutions.
Role type
Senior Registered Client Associate
Builds
Client accounts and advisor business operations
Domain
Wealth Management / Financial Services
Deliverable
client delivery
Required skills
Series 7, Series 66 (or 63/65) licenses, account management, trade processing, compliance adherence, fund transfer execution, client onboarding
Preferred skills
Financial services experience, adaptability to changing technology environments
Responsibilities
Build and maintain professional relationships with clients by answering account questions; Handle account inquiries and escalate to financial advisors when appropriate; Obtain and maintain appropriate account documentation to adhere to compliance standards; Facilitate the transfer of funds and securities, complete trades, and process checks, wires, and ACHs; Maintain meticulous account records and confidentiality.