Registered Client Associate/Client Associate
Core
Administrative and operational support for financial advisors and clients, including account management, trade processing, and compliance documentation.
Role type
Senior IC client associate (wealth management)
Builds
Client accounts and advisor business operations
Domain
Financial services / Wealth management
Required skills
Series 7, Series 66 (or 63/65) licenses, account documentation management, trade processing, fund transfers, compliance adherence, client onboarding
Preferred skills
FINRA registrations, financial services experience
Technologies
Desktop tools, word processing software
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.