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Registered Client Associate

Recruiting Karma
Timonium, MD
  • Posted: 8 days ago
  • Full-Time
Job Description

Registered Client Associate

Job Summary:

Our client, a "Big 4 Bank" and Fortune 100 company, is seeking a Registered Client Associate in Wealth and Investment Management.

Registered Client Associate

Key Responsibilities:

  • Assist Financial Advisor(s) with sales, service and operational related activities such as providing service to clients via telephone, direct interaction and/or written correspondence
  • Facilitate Financial Advisor and client requests for account related information and/or quotes, scheduling and preparing for appointments with new or prospective clients
  • Establish and service client accounts, prepare forms, research account inquiries and/or issues
  • May also perform various administrative functions for the Financial Advisor(s) and Branch Management including, but not limited to, tracking referrals, coordinating and executing marketing campaigns, establishing and maintaining files to meet the firm's regulatory requirements, and establishing and maintaining filing and record keeping necessary to support efforts to service and grow client relationships
  • When applicable, acts as the liaison for all referral sources by reviewing paperwork for completeness and forwarding to management for review


Registered Client Associate

Required Qualifications:

  • 2+ years of Brokerage and Client Services experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, and/or education
  • Successfully completed FINRA Series 7 and 63 exams to qualify for immediate registration (or FINRA recognized equivalents

Registered Client Associate

Preferred Qualifications:

  • Client service focus with the ability to respond to requests in a timely manner
  • Strong analytical skills with high attention to detail and accuracy
  • Brokerage industry experience
  • Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
  • Experience interacting directly with customers
  • Ability to provide administrative support, including responding to prospect/customer inquiries and requests for information
  • Brokerage client support experience

Registered Client Associate

Job Expectations:

  • Obtain and/or maintain appropriate FINRA license(s) is required for ongoing employment in this position
  • Compliance with state law registration and licensing requirements is mandatory
  • In addition to state registration and licensing requirements, specific product licenses or SAFE licensing may apply
  • Additional requirements include meeting enhanced financial fitness and criminal background standards
  • Client will initiate the FINRA licensing review process at the time of offer acceptance
  • For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

This position is not eligible for Visa sponsorship


Registered Client Associate

Salary and Benefits:

  • $65,000 - $70,000 Salary
  • 401(k) Plan
  • Medical, Dental and Vision Benefits
  • Parental and Critical Caregiving Leaves
  • Paid Time Off
  • Commuter Benefits
  • Adoption Reimbursement
  • Tuition Reimbursement and Scholarships
  • Discounts and Savings

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Recruiting Karma


Timonium, MD



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