Registered Associate II
Core
Day-to-day client servicing including account opening, maintenance, trade execution, and onboarding new client relationships.
Role type
Senior IC Registered Associate (Wealth Management)
Builds
Client accounts and investment portfolios
Domain
Wealth Management / Asset Servicing
Deliverable
client delivery
Required skills
Investment product knowledge (stocks, bonds, mutual funds, options), Client relationship management, Regulatory compliance, Financial advisory support, CRM system management, Analytical skills
Preferred skills
Prior brokerage/investment advisory experience, Team mentorship, Strategic program development
Technologies
Wealthscape, Morningstar Analytics, Thomson ONE, Microsoft Office
Responsibilities
Execute trade orders and maintain client accounts, Onboard new clients through paperwork and advisory agreements, Support Financial Advisors in evaluating investment objectives, Act as subject matter expert providing technical consulting to team and advisors, Maintain client records in CRM ensuring regulatory compliance, Solve straightforward client problems using technical judgment
Seniority
Senior, hands-on IC with mentorship duties