Registered Client Associate Job Description

Registered Client Associate Job Description

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Registered client associate provides investment portfolio analysis and financial advice regarding Estates, trusts, investment holdings (equities, mutual funds, and bonds).

Registered Client Associate Duties & Responsibilities

To write an effective registered client associate job description, begin by listing detailed duties, responsibilities and expectations. We have included registered client associate job description templates that you can modify and use.

Sample responsibilities for this position include:

Maintains accurate customer account records
Assists in the opening of customer accounts
Processes customer account changes
Provides quotes and other information to assist customers
Provides reports and other information to Financial Advisor as needed
Writes and enters orders as directed by the Financial Advisor
Performs various administrative duties
Support the rollout, upgrades, and provide in depth knowledge of
Responsible for sharing insight from financial professionals and demands in the investment marketplace to help bring new products or concept to market, timely communication
Performs clerical functions related to opening client accounts and ongoing account codings based upon account features chosen by the client

Registered Client Associate Qualifications

Qualifications for a job description may include education, certification, and experience.

Education for Registered Client Associate

Typically a job would require a certain level of education.

Employers hiring for the registered client associate job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Associate Degree in Business, Communication, Management, Technical, Finance, Education, Financial Services, Accounting, Business/Administration, Economics

Skills for Registered Client Associate

Desired skills for registered client associate include:

Investment and banking products
Policies & procedures
Equities
Fixed income products
Mutual funds
Insurance and annuities
Investment terms and products
Strong client service & technical skills
Strong communication
Time management and organizational skills are

Desired experience for registered client associate includes:

Works with the FA and the client in obtaining the required documents based upon the type of account(s) established
Organizes and assists in the maintenance of complete client account and trade-related records for the FA(s) and certain required files for the branch office
Performs operational or administrative functions for client-related requests (i.e., check requests, wiring funds, address change, dividend information)
Provides quotes and other account-related information to assist clients
Provides reports and other information to FA(s), as needed
Identifies situations that need to be brought to the attention of the FA(s) or escalated to the Branch Manager

Registered Client Associate Examples

1

Registered Client Associate Job Description

Job Description Example
Our innovative and growing company is looking to fill the role of registered client associate. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for registered client associate
  • Educate clients on account services and capabilities including how to read statements, how to access online services
  • Build and maintain a professional rapport with clients while communicating and escalating any important account information to the Financial Advisors on behalf of their clients
  • Manage and help facilitate client appreciation events assisting in maintaining relationships with outside third party vendors (CPA’s, attorneys, third party administrators on retirement plans)
  • Performs clerical functions related to opening client accounts and ongoing account codings based upon account features chosen by the client
  • Preparation of client presentation materials, including portfolio evaluations, wealth plans and special projects
  • Provide back-up on trading and phone support for Financial Advisor
  • Acts in accordance with all compliance rules and regulations as set forth by Financial Industry Regulatory Authority (FINRA) and Raymond James Financial Services (RJFS)
  • Communicate with clients on a daily basis regarding stock quotes, buy vs
  • Work with Hilltop back office systems including CSS to enter trades and other account information
  • Provide sales and service support (i.e., create, review and distribute various client reports and presentations or assist with client events)
Qualifications for registered client associate
  • Series 8 or 9 prefered
  • CFP or Series 7 a plus but not required
  • Prior experience working for an RIA or with RIA conversions a plus
  • Candidates may also undergo certain team building/personality assessments
  • Series 6 or 7 and 65 or 66 licenses desired
  • Knowledge of securities and compliance topics preferred
2

Registered Client Associate Job Description

Job Description Example
Our company is looking to fill the role of registered client associate. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for registered client associate
  • Place equity, mutual fund and fixed income trades for brokerage clients, process money market movements or account maintenance at custodian and in CRM system
  • 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
  • Inform clients about missing paperwork and securities or funds due in accordance with branch, complex, firm and compliance policies.<\/li>
  • Work as a partner with existing CA
  • Provide fundamental support to team by establishing strong client service relationships and assist in the business operation activities of a top performing team
  • Process client and team requests for account servicing needs including opening of new accounts and processing all relevant paperwork, disbursing checks, wires and transfers and maintaining client confidentiality at all times
  • Provide information to clients regarding opportunities to improve banking related services when available to them by proactively calling clients to educate and increase breadth of relationships
Qualifications for registered client associate
  • Ability to multi-task and manage work from several sources
  • Customer-focused, results-drive, team player
  • Intermediate proficiency with Microsoft Office (Excel, Word, PowerPoint, Outlook) and Salesforce.com, or comparable CRM program
  • Understanding of operations system
  • Positive attitude able to build great relationships with team members, clients & vendors
  • Past or present Series 6 or 7, TX Group 1 licensing preferred but not required
3

Registered Client Associate Job Description

Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of registered client associate. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for registered client associate
  • Resolving client inquiries and determining which issues require immediate elevation to the Financial Advisor (FA) or a member of the branch management team
  • Investments enrollment
  • Assisting clients in online enrollment
  • Assisting clients through life events from the addition of a new family member to the passing of one
  • Establishing new accounts, for individuals, families, entrepreneurs and established businesses
  • Identifying clients that could benefit from specific initiatives & service offerings
  • Running team’s business management metrics and updating team in team meetings
  • Performing various projects for FA related to running the practice
  • Provide fundamental support in all phases of client service, client relationship building, and assist the business activities of the Financial Advisor’s team
  • Process daily request for clients and the Financial Advisors including, opening of new accounts, processing of all paperwork related to the opening of new accounts or existing accounts, processing checks and securities for clients, processing Fed Funds, JE, Broker Transfer in and out of client accounts and within associated accounts
Qualifications for registered client associate
  • Minimum of Series 6 or 7, 63 registrations and life, variable life, health and disability insurance licenses
  • Must be a resourceful problem solver
  • Must be capable of succeeding in a fast paced environment
  • Demonstrated proficiency in all aspects of financial services operations performing wires, journals, new accounts, IRA Distributions, CRM database management (Salesforce preferred), Compliance Management (financial planning and various product/platform knowledge a plus)
  • College diploma or equivalent with a minimum of 1 year experience in financial services
  • Series 7 and 66 (or 63 & 65) licenses or ability to get licensed within 6 months of hire
4

Registered Client Associate Job Description

Job Description Example
Our growing company is looking to fill the role of registered client associate. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for registered client associate
  • Inputting data entry for plans including MFP information that does not come in correctly
  • Assisting clients in setting up online access to various applications
  • Processing annuity and insurance tickets
  • Managing RMD’s
  • Estate processing
  • Assisting with identifying which clients are most appropriate to contact for specific initiatives & service offerings
  • Placing certain orders for designated clients, under FA supervision
  • Provides training to less tenured CA’s
  • Performs clerical functions related to opening client accounts and ongoing account coding based on account features chosen by the client
  • Provides reports and other information to FA(s), as requested
Qualifications for registered client associate
  • Solid understanding of the stock market, investments and retirement plans
  • Basic understanding of branch level operations, policies and procedures
  • Series 7 and 63/66 license a plus
  • Associate’s degree and five years of licensed financial services industry service experience
  • Must have FINRA 63, and 7 securities licenses
  • Must have effective communication skills both written and verbal
5

Registered Client Associate Job Description

Job Description Example
Our company is searching for experienced candidates for the position of registered client associate. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for registered client associate
  • Performs various administrative duties (i.e., typing, filing, answer phones, mailing documents/letters, ) and other duties and projects as assigned by the FA and/or Branch Manager
  • Proficiency in computer systems (word, excel, back office functions)
  • Basic knowledge of investment products is a plus
  • Ability to navigate computer functions independently
  • Series 7 & 63/65 or 66 registration strongly preferred
  • Estate planning experience a plus
Qualifications for registered client associate
  • Industry experience and ability to obtain Series 7 and 63 or 66 within 9 months of employment
  • Series 7 and 63 or 66 desired
  • Series 7 and 63 or 66 required or ability to obtain within 9 months of hire
  • Risk recognition and mitigation, including ensuring a deep understanding of and adherence to all policies and procedures
  • 1-2 years relevant industry or internship experience preferred
  • Firm will sponsor successful candidates for licensing when necessary

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