The Registered Client Associate plays a critical support role within a broker-dealer environment by assisting Financial Advisors in delivering exceptional service to clients. This position is ideal for a FINRA-licensed professional who is detail-oriented, proactive, and client-focused, with a strong understanding of investment products and brokerage operations.
Key Responsibilities:- Serve as the primary point of contact for client inquiries, ensuring prompt and accurate responses.
- Support Financial Advisors in account management, client onboarding, and investment transactions.
- Prepare, process, and follow up on client documentation including new account paperwork, asset transfers, and service requests.
- Execute trades as directed by Financial Advisors (if licensed and authorized).
- Maintain compliance with FINRA, SEC, and internal policies and procedures.
- Assist with client reporting, account reviews, and preparation of meeting materials.
- Maintain CRM and client databases with up-to-date information.
- Support marketing efforts such as client events, newsletters, and client communications.
Requirements:- Active FINRA Series 7 and 63 (or 66) licenses preferred.
- 2+ years of experience in a client service or sales support role within a broker-dealer or wealth management firm.
- Strong knowledge of investment products, brokerage operations, and compliance regulations.
- Proficient in Microsoft Office Suite and client management systems (e.g., Salesforce, Redtail).
- Excellent communication, organizational, and problem-solving skills.
- Ability to manage multiple priorities in a fast-paced environment.