Registered Client Associate
Core
Administrative and operational support for financial advisors and clients, including account management, trade processing, and compliance documentation.
Role type
Client Associate / Registered Client Associate
Builds
Client accounts and financial transactions
Domain
Wealth Management / Financial Services
Deliverable
client delivery
Required skills
Series 7 license, Series 66 license (or 63/65), account documentation management, trade processing, fund transfers, compliance adherence
Preferred skills
Financial services experience
Technologies
Desktop tools, Word processing software
Responsibilities
Answer account questions and handle inquiries, process checks, wires, and ACHs, facilitate fund and securities transfers, maintain account records and documentation, prepare correspondence
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