Registered Client Associate Resume Samples

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OB
O Bogan
Olaf
Bogan
69749 Hipolito Ridges
Chicago
IL
+1 (555) 574 1823
69749 Hipolito Ridges
Chicago
IL
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
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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8 Registered Client Associate resume templates

1

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
2

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
3

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
4

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
5

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
6

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
7

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
8

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
9

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)
10

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
11

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.*
12

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
13

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
14

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)
15

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
16

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
17

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
18

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
19

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
20

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
21

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