Registered Client Associate

📋 Description

• Provide professional client service supporting client satisfaction in regulatory environment.
• Adhere to Branch, Firm and Compliance policies and regulations.
• Review and process account documents; inform FA of meaningful activities related to client accounts.
• Assist FA with financial plans for current and prospective clients.
• Assist with periodic client mailings, communications and events.
• Facilitate transfer of client funds/securities and issuance of checks on request.

🎯 Requirements

• SIE and FINRA Series 7 exam and Series 66 (or 63/65) licensing, or ability to obtain.
• Knowledge of stocks, bonds, margins, options, mutual funds, annuities and insurance.
• At least two years experience as a Registered Client Associate.
• Post-secondary education preferred.
• Strong technology skills: Word, Excel, Outlook; experience with Thomson ONE, Envestnet, CRM, Money
• Excellent communication, problem solving and client service skills.

🎁 Benefits

• Medical, Dental and Vision
• Company 401(k) and ESOP contribution
• Generous sick, vacation, and maternity/parental leave
• Paid holidays
• Professional Development Opportunities
• Tuition Reimbursement ($15,000 lifetime cap)