Registered Client Associate Resume Samples

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O Bogan

Olaf

Bogan

69749 Hipolito Ridges

Chicago

+1 (555) 574 1823

69749 Hipolito Ridges

Chicago

Phone

p +1 (555) 574 1823

Experience Experience

Detroit, MI

Registered Client Associate

Detroit, MI

Okuneva, Christiansen and Mills

Detroit, MI

Registered Client Associate

Lead content discussions at Optimal Practice Model (OPM) Forums and act as planning coach during Fieldwork, starting in 2014
Prospect for new business in addition to prospecting existing clients for new product and service offerings
Resolving client inquiries and concerns acting as client advocate
Working with clients to ensure proper account opening procedures and documentation
Provide detailed FA training on planning-related tools (e.g., Wealth Outlook, CRC, etc.) in order to support the GBWM, GBCMP and OPM initiatives
Providing account information to clients and maintaining key client relationships
Servicing client requests and inquiries such as opening accounts and account maintenance

Boston, MA

Umpqua Investments Registered Client Associate Portland

Boston, MA

Hirthe-Hudson

Boston, MA

Umpqua Investments Registered Client Associate Portland

Provide report and information to FAs Clerical duties such as handling phones, mailings, filing and form processing
Provide account information to clients and FAs
Maintain accurate customer account records
Process customer account changes
Respond to inquiries, research requests and resolve problems
Other duties as assigned by Supervisor
Assist with General Prospecting Efforts; Including Researching Prospects and Managing Communication Flow

present

Boston, MA

Senior Registered Client Associate

Boston, MA

Lakin, Schultz and Gulgowski

present

Boston, MA

Senior Registered Client Associate

present

Inform clients about missing paperwork and securities or funds due in accordance with branch, complex, firm and compliance policies
Compose letters or memos as requested in accordance with established policies and procedures
Utilize the firm's computer systems and related functionality as it applies to client service and business enhancement.
Note potential problems and alert respective FA(s), branch and/or complex management as necessary.
Inform clients about missing paperwork and securities or funds due in accordance with branch, complex, firm and compliance policies.
Keep FA(s) informed of all important information and activities related to their clients’ accounts and transactions.
Adhere to all compliance policies and procedures while maintaining a high level of confidentiality in accordance with RBC’s Code of Conduct

Education Education

Undergraduate Degree

James Madison University

Undergraduate Degree

Skills Skills

Good problem-solving ability
Detailed oriented with excellent analytical skills
Able to work effectively in a fast-paced, detail and deadline-oriented environment
Knowledge of or licensed with NASD Series 6, 7, 63 a plus. If licensed, then becomes Registered Client Associate II
Strong understanding of the stock market. Including investments, fixed income products, equities, mutual funds, insurance, annuities and retirement plans
Able to manage multiple demands and competing priorities
Able to work with a variety of personalities
Good written, verbal, and inter-personal communication skills
Good organizational skills
Ability to perform repetitive functions

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Registered Client Associate Resume Examples & Samples

Good written, verbal, and inter-personal communication skills
Able to work with a variety of personalities
Able to work effectively in a fast-paced, detail and deadline-oriented environment
Satisfaction StudySM, the company announced today. (as of May 9, 2013)
RBC maintains consistently high credit ratings:S&P: AA-; Moody’s: Aa3; Fitch: AA; DBRS: AA (as ofJanuary 31, 2014)
Based onmarket capitalization, RBC is the 15th largest bank in the world and the sixth largest in North America. (Bloomberg as ofJanuary 24, 2014)
RBC employs more than 79,000 full-and part-time employees who serve more than 16 million personal, business, public sector and institutional clients through offices in Canada, the U.S. and44 other countries

Senior Registered Client Associate Resume Examples & Samples

Strong understanding of the stock market. Including investments, fixed income products, equities, mutual funds, insurance, annuities and retirement plans
Advanced written, verbal, and inter-personal skills
Advanced organizational skills
Advanced attention to detail
Good problem-solving ability
RBC maintains consistently high credit ratings: S&P: AA-; Moody’s: Aa3; Fitch: AA; DBRS: AA (as of July 2014)
RBC employs more than 79,000 full-and part-time employees who serve more than 16 million personal, business, public sector and institutional clients through offices in Canada, the U.S. and 44 other countries

Registered Client Associate Resume Examples & Samples

Annual plan calendar management
Ownership of team line calls
Education meeting preparation & delivery
Identification of downstream opportunities
Delivery of ongoing communication & drip thru e-delivery, communication

Registered Client Associate Resume Examples & Samples

Undergraduate degree preferred
Minimum of 1 years professional or relevant internship experience required
Series 7 & 63/65 or 66 registration preferred; if hired without licenses, candidate will need to acquire
Strong communication, time management and organizational skills are required

Registered Client Associate Resume Examples & Samples

Minimum of 1+ years professional or relevant internship experience required
Knowledge of investment and banking products, policies & procedures is required, Strong client service & technical skills (MS Word & Excel), Strong communication, time management and organizational skills are required
Bilingual/Spanish Skillsets Preferred!
Please be advised that under current company policy, Merrill Lynch does not sponsor a visa petition or other work authorization, nor will the company provide relocation assistance, for this position

Registered Client Associate Resume Examples & Samples

Frequent client contact, typically by telephone, but also in-person and by email
Resolving client inquiries and complaints and determining which issues require immediate elevation to the Financial Advisor (FA) or a member of the branch management team
Account administration & maintenance
Prospect for new business in addition to prospecting existing clients for new product and service offerings
Determine which clients are most appropriate to contact for specific initiatives & service offerings
Place certain unsolicited orders for designated clients, under FA supervision
Serve as the main point of contact for established clients.Qualifications

Registered Client Associate Resume Examples & Samples

Drive the Goals-Based Wealth Management (GBWM) and Goals-Based CMP (GBCMP) strategies within the market by partnering with the Market Executive and Complex Directors to deliver coaching and training through market-wide programs, local in-person meetings, virtual training calls and one-on-one training sessions with FAs
Lead content discussions at Optimal Practice Model (OPM) Forums and act as planning coach during Fieldwork, starting in 2014
Provide detailed FA training on planning-related tools (e.g., Wealth Outlook, CRC, etc.) in order to support the GBWM, GBCMP and OPM initiatives
Track and analyze strategy adoption and tool utilization data for the market and complexes in order to monitor FA engagement levels and practice growth
Work as a liaison between the OPM/GBWM home office strategy teams and the market team (including the Market Executive and Complex Directors) to ensure seamless messaging on planning-related initiatives
Serve as the market subject matter expert to ensure planning processes, policies and tools are understood and followed
Capture and deliver planning best-practices
Credentialed with planning designation(s) - CFP or CHFC
5+ years working with clients on planning-related issues preferred
FINRA Series 7,66 Licensed
Ability to work with various business units (Product, Technology, Marketing, etc) and juggle multiple projects simultaneously
Ability to assess needs of FAs and recommend appropriate solutions/interventions
Ability to operate in self-directed manner as a member of a national virtually based team
Ability to build strong relationships
Strong understanding of the FA role coupled with knowledge of how to navigate the USWM organization
Ability to engage, influence and build commitment without direct authority

Registered Client Associate Resume Examples & Samples

Authorized to work in the U.S. without requiring visa sponsorship
Able to work effectively in a fast-paced, deadline-oriented environment
Associate’s degree or Bachelor’s degree

Temporary Registered Client Associate Resume Examples & Samples

Minimum of 1-2 years of industry experience
Intermediate understanding of the stock market, investments and retirement plans
Working knowledge of fixed income products, equities, mutual funds, insurance and annuities
Basic computer skills (including Microsoft Office)
Series 7 (or ability to obtain within 6 months)
Series 63 (or the equivalent of a Series 66 may be required pursuant to regulations) (or ability to obtain within 6 months)
Good interpersonal verbal and written communication skills
Detail orientated, strong math and organizational skills
Able to manage multiple demands and competing priorities
Based on market capitalization, RBC is the 12th largest bank in the world and the sixth largest in North America. (Bloomberg as of August 2014)

Umpqua Investments Registered Client Associate Portland Resume Examples & Samples

Provide account information to clients and FAs
Respond to inquiries, research requests and resolve problems
Provide report and information to FAs *Clerical duties such as handling phones, mailings, filing and form processing
Other duties as assigned by Supervisor

Senior Registered Client Associate Resume Examples & Samples

Service clients in a pleasant, professional manner. Answer questions about their accounts and trading procedures within the established scope of the position's responsibility. Provide information such as account balances, stock quotes and other account-related information.*
Build and maintain a professional rapport with clients.*
Keep FA(s) informed of all important information and activities related to their clients’ accounts and transactions.*
Registered employee may enter unsolicited trades in client accounts at the client’s request, generally in the FA’s absence
Research and effectively resolve complex problems in client accounts at the request of the client or FA. Notify the FA and/or client of the outcome. May assist others with problem resolution.*

Registered Client Associate Resume Examples & Samples

If not already registered, candidate will be required to acquire
Candidate should be in the pursuit of a career in finances
Strong dedication and commitment to being in a supportive role

Registered Client Associate Resume Examples & Samples

Looking to pursue a career in the financial industry
Thrives in a fast paced environment
Ambitious
Eager to learn from a well established team
Enjoys being challenged
Adapts well to change

Registered Client Associate Resume Examples & Samples

Series 7 (or ability to obtain in 6 months)
Series 63 (or the equivalent of a Series 66 may be required pursuant to regulations) (or ability to obtain in 6 months)
State licenses consistent with those of the FA(s) to whom this person supports (or ability to obtain in 6 months)

Registered Client Associate Resume Examples & Samples

Minimum 1-2 years general office experience
Basic understanding of the stock market, investments and retirement plans
Series 7 license or ability to obtain within the first 6 to 12 months on the job if required
Series 63 license (or the equivalent of a Series 66 may be required pursuant to regulations) or ability to obtain within the first 6 to 12 months on the job if required
State licenses consistent with those of the FA(s) to whom this person supports or ability to obtain within the first 6 to 12 months on the job if required
Prior industry experience

Registered Client Associate Resume Examples & Samples

Serve as a main point of contact for established clients
Resolving client inquiries and concerns acting as client advocate
Provide exceptional client service through account administration & maintenance including online websites, account activity and documentation, securities transfers, create and maintain client profiles, request illustrations
Gather information and data from various sources including clients and their professional advisors
Assist in the preparation of client presentations
Document client interactions through client relationship management system
Minimum of 3+ years professional or relevant experience required
Series 7 & 63/65 or 66 registration preferred; if hired without licenses, candidate will be required to acquire
Knowledge of investments, insurance/annuities, trusts and banking products
Dedication to excellent customer service
Ability to be extremely detail oriented and highly organized with ability to manage a large workload at any given time
Strong work ethic, excellent oral and written communication skills
Strong technological skills (MS Word & Excel), assisting clients with firm online services
Compliance experience helpful

Registered Client Associate Resume Examples & Samples

Servicing client requests and inquiries such as opening accounts and account maintenance
Completing financial transactions such as check requests and wire transfers
Generating client reports
Submitting business expenses for the team through the Concur system
Assisting with investment solution implementation
Developing service models individualized to each client’s specific needs
Building strong client relationships
Assisting with client event planning
Help continue to grow team’s business
Participate in office initiatives
Ability to work well in a team environment

Registered Client Associate Resume Examples & Samples

Handle incoming calls
Supports NDIP team on operational and client related issues
Initiates, processes and responds to client service requests
Initiates outbound calls to clients (schedules appointments including client reviews, confirms appointments, respond to clients and communicates with clients on issues)
Completes client meeting preparation, calendar and required client reports
Processes new business and completes new business related functions
Completes daily, weekly and monthly operational and technical tasks
Places trades for Financial Advisor’s (FA) when requested
Supports FA’s and responds to FA requests
Clears compliance required maintenance
Performs other work-related duties assigned by supervisor, senior management or financial advisors in the field
Maintains all information relating to customer accounts and bank affairs in strict confidence
Acts in accordance with all compliance rules and regulations as set forth by Financial Industry Regulatory Authority (FINRA) and Raymond James Financial Services (RJFS). This includes all required continuing education requirements to satisfy annual requirements and full disclosure of any activities or events that would require a Form U-4 amendment
Acts in accordance with all appropriate and applicable bank rules and regulations as set forth by various regulatory agencies
Maintains a current understanding of FDIC banking regulations for NDIP, and Bank procedures and policies
Utilizes and fully completes appropriate checklists
Becomes cross trained in all department functions
One year previous office, financial, management and/or securities experience
Detailed oriented with excellent analytical skills
Excellent organizational & time management skills
Excellent attitude & an extraordinary client service orientation
Ability to handle multiple tasks & operate on tight deadlines
Self-motivated, self-reliant with a business appearance and demeanor
Ability to perform repetitive functions
Knowledge of or licensed with NASD Series 6, 7, 63 a plus. If licensed, then becomes Registered Client Associate II

Registered Client Associate Resume Examples & Samples

Becoming fully registered which means passing the Series 7 and 66 exams
Excellent computer knowledge and skills
Track Record of being an “over achiever” “goal setter” and/or “perfectionist”
Proven customer support experience, strong phone contact handling skills and an active listener
Willing to go the “extra mile” for our clients and team
Ability to multi-task, prioritize and manage time effectively
Detail oriented, organized, and skilled at following up with any tasks assigned
Answering all incoming phone calls
Become an expert in all necessary forms and client service operations
Continuing to make sure RMDs (Required Minimum Distributions) remain on autopilot
Follow up client checks that get mailed out
Event planning
Client Review Preparation
Order Entry

Registered Client Associate Resume Examples & Samples

Series 7 and 66 Registration Required
Anticipated Hours 8:30 am – 4:30 pm MT
Ability to Execute Trades of Stocks, Bonds & Mutual Funds
Familiarity with ML Operating Systems and ML One Fee Structure (Monitor Variances, Submit Sales Force Notes)
Knowledge of Account Opening Process and Preparation of Documents
Maintain Household & Client Data (Custom Account Groups, Statement Links, Online Access, Periodic Data Validation, Source of Wealth)
Monitor Cash Needs by Account to Cover Monthly Fees and Periodic Outgoing Transfers/Wires
Understanding of Lines of Credit, Margin Loans, and Mortgages
Run CRC/Performance Reviews
Assist with General Prospecting Efforts; Including Researching Prospects and Managing Communication Flow
Strong Knowledge of Excel for Modeling Current Allocations (using existing prospect statements) and Showing Changes Needed by Strategy to Achieve Target Allocations
Strong Knowledge of PowerPoint for Creation of Pitch books (Create, Edit, Import Spreadsheets, Build Charts, Bind books, etc.)
Knowledge of Wealth Bench & Outlook, My Financial Picture, CRC Helpful and/or Willingness to Learn

Registered Client Associate Resume Examples & Samples

Providing account information to clients and maintaining key client relationships
Proactively resolving clients' issues and concerns
Learning the business and products in order to assist Private Wealth team
Organization, tracking, and communication of various team tasks
Receiving and entering customer orders in both brokerage and advisory accounts
Comply with all industry rules and regulation and firm policies
2 years of experience in financial services
Confident in both written and verbal communications
Computer skills, Word, Excel, and PowerPoint