Registered Wealth Management Client Associate

Job Description:

This role is responsible for providing client service support to multiple Financial Advisors (FAs). The incumbent serves as the primary point of contact within the organization to address all service needs for clients.

• Provide excellent client service, educating clients on bank’s service and banking offerings.
• Ensure timeliness, accuracy, and completeness in client materials and follow up on all client and FA requests.
• Assist in ensuring practices align with bank’s policies and procedures to support operational excellence, protect clients, and manage risk.
• Identify, deepen, and maintain client relationships by emphasizing bank’s offerings and promoting incorporation of banking into day‑to‑day practices, and communicate outputs to the FA.
• Support day‑to‑day team activities and needs, including covering roles during absences or seasonal increases, while leading with a client‑first mindset.

• Currently holds FINRA Securities Industry Essentials (SIE), Series 7, and Series 66 (63 and 65 accepted in lieu of 66). If these licences are not currently held, they must be obtained within a specified timeframe if being hired into a registered job code.
• Possesses advanced industry knowledge and an understanding of investment products.
• Enthusiastic, highly motivated self‑starter with a strong work ethic and an intense focus on results.
• Demonstrates a client‑centric mindset, always acting in the best interest of the client.
• Shows ability to learn and adapt to new information and technology platforms.

• Experience working with clients, quickly fulfilling their needs, delivering complex solutions, and providing an excellent client experience.
• Comfortable operating in a fast‑paced environment with changing and evolving responsibilities.
• Detail oriented.
• Commitment to continuous learning and professional growth.
• Sound judgment and discretion when handling sensitive information.
• Strong computer application skills, including proficiency with Microsoft Word, Excel, PowerPoint, and Salesforce.
• Professional verbal and written communication skills.

• Account Management
• Client Management
• Customer and Client Focus
• Issue Management
• Oral Communications
• Business Development
• Client Solutions
• Advisory Pipeline Management
• Prioritization
• Administrative Services
• Emotional Intelligence
• Referral Identification Written Communications

High School Diploma / GED / Secondary School or equivalent.

Internal employees who are currently working from home are still eligible to apply; however, if selected, the role may require on‑site work in accordance with the workplace excellence policy.

The following laws or regulations restrict or prohibit the hiring of individuals with certain specified criminal history for the position: FDIC; FINRA.

Shift: 1st shift (United States of America). Hours per week: 37.5.

Pay range: $25.00 - $45.00 hourly. Discretionary incentive plan and benefits eligible.